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Securities and Financial Services Fall Conference
Minneapolis, Minnesota
29 November 2012
Hosted By: Dorsey & Whitney LLP
This conference, hosted by Dorsey & Whitney LLP in Minneapolis, Minnesota on 29 November 2012, examined a variety of practical issues and trends currently affecting the securities and financial services industry. Former NERA Senior Vice President Dr. John Montgomery and Vice President Dr. Stephanie Plancich were invited to join an expert panel session entitled "The New FINRA Suitability Rule: Implementation, Enforcement, and Litigation." Dr. Montgomery and Dr. Plancich discussed how economic analyses can be used in broker-customer suitability cases to evaluate liability. They also discussed the use of economic analysis to assess loss causation and to estimate damages. The panel included Peter Bado of Thrivent Financial and J. Jackson and Krissi Carlson, Partners at Dorsey & Whitney.
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