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Kotz Sangster securities litigation attorney Dennis Egan served as a speaker at the National Association of Credit Union Service Organizations (NACUSO) Conference in Las Vegas on April 5, 2016. NACUSO brings credit union industry experts together annually, where credit unions and their CUSOs experience the best innovations, thought leadership, and collaboration connections in the industry.
Dennis’s topic, “Protecting Your Credit Union’s Interest In Your Investment Services Program: Your Top Advisors and Your Members Are Being Targeted” was featured during the three-day conference. The session was for credit unions offering non-depository investment services through securities broker/dealers whose financial advisors may be recruited by other investment firms. He addressed methods for credit unions to protect themselves and discussed the relevant federal and state regulations and statutes.
A seasoned securities attorney, Dennis has an extensive background representing investment professionals, financial institutions, broker/dealers and futures commission merchants, including in raiding/recruiting situations.