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Andrew Dennington to speak at DRI Business Litigation Conference on March 22

When Do M&A Brokers Need To Register As Securities Broker-Dealers?

At DRI’s Business Litigation and Intellectual Property Litigation Super Conference, taking place in Houston, TX on March 21-23, Andrew will be speaking on “When Do M&A Brokers Need To Register As Securities Broker-Dealers?” Attendees will learn about the statutes, SEC guidance, and recent case law regarding when M&A broker-dealers are required to register as securities broker-dealers.  This should prove valuable to any attorney who has ever litigated a dispute arising out of any effort to raise money, find investors, or close the purchase or sale of a business.

For additional conference information, see https://www.dri.org/education-cle/seminars/2022/business-ip-litigation

Andrew recently successfully litigated an appeal at the First Circuit on this topic.  Read more here:https://www.connkavanaugh.com/articles-and-resources/failure-to-register-with-finra-as-a-broker-dealer-can-cost-mergers-and-acquisitions-brokers-dearly

Andrew serves as Chair of DRI’s Business Torts and Contract Litigation Specialized Litigation Group.


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