Oyster LLC Logo

Consulting Outsourcing Software

Loading Events

« All Events

  • This event has passed.

Securities Experts Roundtable – Annual Conference

August 2, 2019 - August 3, 2019

Event Navigation

Securities Experts Roundtable

Oyster’s Chief Legal Counsel Patrick M. Dennis will be attending the Securities Experts Roundtable (SER) in Minneapolis, MN.   SER provides continuing professional education and promotes ethics and integrity among its members while remaining dispute neutral as an organization.

Patrick M. Dennis has been involved in the securities industry for over 30 years, most recently as one of the Founding Principals of Oyster Consulting, LLC, a compliance, regulatory, operations, clearing advisory, software and technology consulting firm for broker-dealers, investment advisers, mutual funds and hedge funds.

Previously, Patrick was a Senior Vice President and Assistant General Counsel to Wachovia Securities, LLC (now Wells Fargo Advisors), or its predecessors. Patrick moved to Wells Fargo in 1998, where he was in charge of all litigation and regulatory matters affecting the retail brokerage firm. He managed securities litigation and arbitration matters until 2003 when he moved into a Senior Regulatory Counsel position. In that capacity, he handled a number of high-profile regulatory matters for the firm including, mutual fund breakpoints, mutual fund market timing, inactive fee-based accounts and closed end funds. Patrick also served as Senior Regulatory Counsel to Wachovia’s Investment Advisory line of business.

Details

Start:
August 2, 2019
End:
August 3, 2019
Event Categories:
,
Event Tags:
, , ,
Website:
http://www.securitiesexpert.org/conference_next.php

Venue

St. Paul Hotel
350 Market Street
Minneapolis, MN United States
+ Google Map