The Briggs Forum on Financial Markets: Securities, Insurance, Litigation and Regulation

April 20, 2017

April 20, 2017

Windows on Minnesota
710 S Marquette Ave.
Minneapolis, MN 55402

The Briggs Forum on Financial Markets: Securities, Insurance, Litigation and Regulation (formerly known as the Upper Midwest Securities Litigation and Enforcement Forum) is a full-day seminar hosted by the Financial Markets Group at Briggs and Morgan, P.A.

Join our exceptional lineup of speakers who will present on challenges and strategies that affect the financial industry, including securities and insurance regulation and enforcement, cyber security and customer data, and current events and ethical considerations.



8:00 a.m. - 8:30 a.m.

Registration and Continental Breakfast

8:30 a.m. - 8:45 a.m.

Welcome: Financial Markets in the New Era

  • Frank A. Taylor, Briggs and Morgan, P.A.
8:45 a.m. - 9:15 a.m. Regulatory Priorities in Minnesota
  • Michael J. Rothman, Commissioner,
    Minnesota Department of Commerce

9:15 a.m. - 10:15 a.m.

DOL Fiduciary Duty Rule: What Now?

  • Nicole James-Gilchrist, Senior Counsel, Thrivent Financial
  • Eric L. Marhoun, EVP and General Counsel,
    Fidelity & Guaranty Life Insurance
  • Ambassador Tom McDonald, Partner, BakerHostetler
  • Julie H. Firestone, Briggs and Morgan, P.A.

10:15 a.m. - 10:30 a.m.


10:30 a.m. - 11:30 a.m.

Focus on the Regulators: What Can We Expect 


in Financial Regulation

  • R. Scott DeArmey, District Director, FINRA
  • Paul Mensheha, Regulatory Counsel, SEC 
  • Frank A. Taylor, Briggs and Morgan, P.A.

11:30 a.m. - 12:30 p.m.

Networking Lunch (provided)

12:30 p.m. - 1:15 p.m.

Current Events and Ethical Considerations

  • Professor Richard W. Painter,
    University of Minnesota Law School

1:15 p.m. - 2:15 p.m.

An Aging Population: Elderly Clients and Clients


with Diminished Capacity

  • Melissa J. Morris, Special Care Planner,
    Minneapolis Financial Group
  • Anita Raymond, LISW, CMC,
    Volunteers of America
  • Andrea Smith, Corporate Counsel, Wells Fargo
  • Robert A. McLeod, Briggs and Morgan, P.A.

2:15 p.m. - 2:30 p.m.


2:30 p.m. - 3:15 p.m.

Managing the Inside/Outside Counsel Relationship

  • Margaret A. Goetze, Associate General Counsel,
    RBC Wealth Management
  • Jen Randolph Reise, AVP Corporate Compliance and Ass't Corporate Secretary, Regis Corporation
  • Eric J. Rucker, Senior Counsel, 3M
  • Scott G. Knudson, Briggs and Morgan, P.A.

3:15 p.m. - 4:15 p.m.

The New Great Train Robbery: Cyber Security and Protecting Customer Data

  • James C. Browning, Jr., Deputy General Counsel and VP, Stifel, Nicolaus & Company
  • Michelle M. Carter, Assistant Vice President - Executive Risk, Hays Companies
  • David E. Rosedahl, General Counsel,
    Dougherty & Co.
  • Daniel J. Supalla, Briggs and Morgan, P.A.
 4:15 p.m. - 5:00 p.m. Networking Reception
  *schedule and agenda subject to change

Breakfast, lunch and networking reception included.
Agenda has been approved for 6 CLE credits (.75 ethics credit, 1 elimination of bias credit and 4.25 general credits). The CLE code is 238444.

Register here