Willis H. Riccio will conduct a seminar on the supervisory responsibilities for the brokerage community today, March 26.
Riccio, a partner at the law firm of Adler Pollock & Sheehan P.C. of Providence and Boston, recently authored an article on fiduciary duty and broker-dealers published in the Securities Regulation and Law Report. The article offers Riccio’s perspective on a recent Massachusetts Supreme Judicial Court opinion which could be read to suggest that there is a per se fiduciary status for brokers simply through entering into a broker-dealer relationship.
Seifert Systems Invests in Energy Efficiency to Strengthen Operations
For manufacturers, energy is more than just another operating expense. It plays a critical role…
Learn More
The seminar will be held from 4:30 p.m. until 6:30 p.m. at the Hope Club at 6 Benevolent Street in Providence.
Riccio is an adjunct professor of securities law at the New England School of Law and a member of the advisory board of Bureau of National Affair’s Securities Regulation and Law Report.
Riccio was previously regional administrator for the U.S. Securities Exchange Commission in New England and also headed the National Association of Security Dealers eastern office as vice president and director. Riccio served for several years as a special assistant U.S. attorney in Rhode Island.
