Kim Ruckdaschel-Haley


This seminar will cover the basics of what to do if a financial planner is served with a subpoena. The presenters will discuss the breadth of information that may be subject to a subpoena, how to respond, and how the court process works when objections are made. The seminar will address how basic compliance standards play a role in documents produced, things to think about in the level of detail of notetaking, and other important aspects to consider.

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