When:  May 11, 2021
Time:    3:30pm ET; 2:30pm CT; 1:30pm MT; 12:30pm PT
Who:    Open to all PIABA Members
Cost:    Free
CLE:     None 

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The webinar is open to all PIABA members. This program does not include continuing education credit.

Scheduled for 60 minutes, the webinar will begin at 3:30 pm edt; 2:30 pm cdt; 1:30 pm mdt; 12:30 pm pdt.

Alan Rosca   Paul Carroll

 

Moderator
Alan L. Rosca
Goldman Scarlato & Penny PC 
Beachwood, OH

 

Speaker
Paul C. Carroll
Sententia, LLC
Manalapan, NJ

Alan focuses his legal practice on complex financial and commercial matters, particularly in the areas of securities litigation, investment fraud, banking industry litigation, antitrust/index manipulation, and international disputes. He often represents institutional and individual investors in disputes with financial and banking industry members arising out of investment fraud or misconduct, or banking industry violations. He prosecutes claims on behalf of investors through class actions and FINRA arbitrations. 

He is an adjunct professor of Securities Regulation at Cleveland-Marshall College of Law, Cleveland State University. 

Alan received his Juris Doctor degree summa cum laude from Cleveland-Marshall College of Law in May 2008. While in law school he served as a Managing Editor of the Cleveland State Law Review, received the Dean's (full) scholarship for the entire Juris Doctor program, and won the "Best Oralist" award in the Jessup Moot Court competition, Pacific Region. Prior to law school, Alan was an investment analyst for a major financial data corporation and prepared investment research for fund managers.

He is licensed to practice law in the Ohio state and federal courts, and other federal courts nationwide. 

Alan also holds a Master of Business Administration degree from Baldwin-Wallace College, Ohio.

 
 

Paul has over 30 years of experience in the Financial Services Industry.  He is an expert in operational controls, processes and procedures with a principle focus on margin lending practices involving SEC/FINRA Portfolio Margin [FINRA Regulation 4210(g)], FRB Reg T and FINRA Maintenance Margin [FINRA 4210(f)].

Paul served as Vice President in Global Operations for Goldman Sachs Execution & Clearing, Limited Partner at Spear Leeds & Kellogg and past-­President of SIFMA’s Credit and Margin Society (CMS).
Paul was also a member of the following regulatory sponsored committees:

NYSE 431 Margin Committee – 1999 – 2007
NASD Margin Day Trading Committee -­ 2000
FINRA 4210 Margin Committee – 2007 -­ 2011
FIPaul has over 30 years of experience in the Financial Services Industry. He is an expert in operational controls, processes and procedures with a principle focus on margin lending practices involving NRA Portfolio Margin Sub-­Committee (pre-­adoption) 2005 – 2007
SEC/FINRA Portfolio Margin Sub-­Committee (post adoption) 2007 -­ 2011

Paul has participated in the PM application process on behalf of 3 broker/dealers along with the Firm’s legal, compliance, risk, margin and senior business management.

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