Reviewing Developments at FINRA

November 19, 2008
International Quality & Product Center’s (IQPC) 5th Securities Litigation Summit
New Yorker HotelNew York, New York

Ernest E. Badway of Fox Rothschild to Speak at Securities Litigation Conference

Ernest E. Badway, a partner with Fox Rothschild LLP, will serve as a panelist at the International Quality & Product Center’s (IQPC) 5th Securities Litigation Summit: “Examining the Regulation, Enforcement, and Litigation Developments in the Securities Arena.” The conference will be held at the New Yorker Hotel in New York, New York, on November 18-19, 2008.

Badway will speak as part of the “Reviewing Developments at FINRA” panel discussion. The group will discuss the transition and changes in approach, the implication and effects that the merger between NASD Regulation and the regulatory unit of the NYSE has had on ongoing and pending litigation, assessing enforcement priorities and exploring future industry safeguards and measures to avoid repeating mistakes.

A former SEC staff attorney, Badway primarily practices in the areas of securities litigation and regulation, white collar criminal defense, business litigation and alternative dispute resolution, with particular emphasis on matters pertaining to private placements, initial public offerings, broker-dealer creation, investment advisor creation and hedge fund creation. He has been appointed an arbitrator and mediator for The Financial Industry Regulatory Authority, Inc. (formerly, the NASD and NYSE); an arbitrator for the NFA; and an arbitrator and mediator for the New Jersey State Courts.

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