Suing Securities Professionals

1 Hour Illinois MCLE Credit

Course overview: James Eccleston, a leading expert in securities litigation and arbitration, will explain the obligations stockbrokers and other securities professionals have to their clients under a complex web of regulation. The course discusses the different types of securities professionals, their licensing, and their respective duties and liabilities. The course also explores the theory and reality of the arbitration system in which claims against securities professionals are commonly handled.