Dates/times:
Thursday, September 15 2016 at 02:30 PM (Get Tickets)
Location:
Topgolf
NW Huffman St
Hillsboro, OR 97124
Event Description:
DO YOU REALLY UNDERSTAND HOW THE
DOL FIDUCIARY RULES WILL AFFECT
YOUR PRACTICE?
Come ask for yourself and hear the answers to this question and many others from John Carr, a leading FINRA attorney and principal with Carr Butterfield, LLC.
Pacific Capital invites you to join us in this impactful conversation, and afterwards, try your luck at Topgolf, the craze that's sweeping across America. You'll also have an opportunity to network with other business leaders from the Portland Metropolitan Area.
KEYNOTE SPEAKER
John T. Carr
Principal
Carr Butterfield, LLC
(503) 635-5244
jcarr@carrbutterfield.com
John's Professional Experience
John T. Carr provides legal representation of financial services professionals to limit, defend and/or deflect liability in regulatory investigations, enforcement actions, arbitrations and court cases pending before Oregon Circuit Courts and the United States District Court for the District of Oregon.
He is experienced in defending clients before federal and professional regulatory agencies across the U.S. and the Pacific Northwest, including but not limited to:
* U.S. Securities and Exchange Commission ("SEC")
* Financial Industry Regulatory Authority ("FINRA")
* Washington Department of Financial Institutions
* Oregon Department of Finance and Corporate Securities
* Oregon Insurance Division
* Washington State Insurance Commissioner
* Idaho Department of Finance, Securities Bureau
* Certified Financial Planner ("CFP") Board of Standards, Inc.
* U.S. Department of Labor
Insurance defense claims involving errors and omissions ("E&O") and commercial general liability ("CGL") policies for insureds within the financial services industry are an area of focus.
Mr. Carr's additional practice areas include licensing, mergers and acquisitions, professional discipline, regulatory violations, audit compliance, entity formation, and corporate re-structuring.
Date & Time
Thursday, September 15, 2016
2:30 pm -- Arrival & Registration
3:00 pm -- Presentation
4:00 pm -- Topgolf
Beverages and Hors d'oeuvres Provided
Registered Representative of, and Securities and Investment Advisory Services offered exclusively through Hornor, Townsend & Kent, Inc. (HTK) A Registered Investment Advisor, member of FINRA/SIPC. HTK does not offer tax or legal advice. Pacific Capital Resource Group, Inc. is independent of HTK and is a licensed insurance agency.
Headquarters: 10900 NE 8th Street, Suite 1500, Bellevue, Washington 98004 | 425.641.8788 | www.pcrg.com
1564505RM-Aug18