Our Forums

Antitrust
Compliance & Corporate Governance
Corporate Law & Finance
Enforcement
ESG & Environmental Regulation
Family Office
Land Use Planning & Infrastructure
Dispute Resolution
Private Client
Private Capital Markets
Privacy, Data, & Cyber Security
View All
Terms of Use Privacy Policy Cookie Policy
Copyright 2026 - Cambridge Forums Inc.
Account Login

Log in to view your upcoming forums, download materials, update your personal information and more.

Reset password

Enter the email address associated with your account, and we’ll email you a link to reset your password.

Email address "" isn’t found in the system, if you think this is in error please reach out to [email protected] for assistance.

RECEIVED AN INVITATION OR ALREADY A MEMBER OF THE Forum? Login to view further details.

Forum Overview

Dates: May 6 - 8, 2026

Location: New Orleans, LA

The Steering Committee welcomes up to 44 highly qualified attorneys, and a select few in-house counsel, specializing in securities enforcement and regulation of broker-dealers, across the United States. Discussions will have a strong FINRA and SEC broker-dealer focus and will include only those who are considered experts in the field.

 

Through candid, interactive discussions at this annual meeting, the group will explore the most pressing and provocative issues of the day. Participants learn how others address these problems and identify practical solutions that can work for them.

CONNECT. ENGAGE. EXCEL. This is a different event, unlike any you've attended

Built on meaningful interactions and genuine connections, the Forum is the premier gathering for preeminent leaders in securities enforcement and regulation of broker-dealers.

"Unquestionably, the most valuable professional conference I've attended."
Coates Lear

Member

Shoemaker Ghiselli + Schwartz LLC

Colorado

"The Forum on SEC Enforcement allows me to connect with some of the brightest minds across the country in a collaborative, discussion-based environment to share and consider thoughts and approaches to handling SEC investigations and enforcement actions. Unlike many conferences, the Forum is designed to foster social and intellectual engagement that results in better relationships and ultimately, better information and insights from which to serve clients."
Jessica B. Magee

Partner

Holland & Knight LLP

Texas

"This conference is by far the most useful conference for SEC practitioners. It is a small group of lawyers who focus in this area – it’s perfect."
John W. Berry

Partner

Munger Tolles & Olson LLP

California

slider item slider item slider item slider item slider item slider item slider item slider item slider item slider item

SPONSORING THIS FORUM

The Steering Committee would like to thank the following sponsor for their support of the Cambridge Forum on Broker Dealer Enforcement & Compliance.

 

Please click the logo below to learn more about our Sponsor. 

preview sponsor image
gallery image
VISIT THEIR WEBSITE
For more information please contact:
Jennifer Marietta-Westberg

Vice President

preview sponsor image

About Cornerstone Research

Cornerstone Research is at the forefront of economic and financial consulting, delivering the rigorous analytical solutions required to navigate complex disputes. The firm draws from an extensive network of prominent academic and industry experts to support each matter effectively. Leveraging industry-leading artificial intelligence and machine learning tools, Cornerstone provides clients with a sophisticated, tailored approach. A reputation for innovation, precision, and excellence has defined Cornerstone since 1989. That momentum continues with over 1,000 professionals collaborating across nine offices in the US, UK, and EU.

STILL UNSURE? Learn why people return year after year

Hear how our participants describe the practical benefits of our forums.

Shóna Fox

Vice President, Enforcement Programming