Articles by Joel
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FINRA Adds Chief Information Security Officer as Voluntary Role in FINRA Contact System
FINRA Adds Chief Information Security Officer as Voluntary Role in FINRA Contact System
By Joel Wertman
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2016 SEC and FINRA Exam Priorities Focus on Cybersecurity
2016 SEC and FINRA Exam Priorities Focus on Cybersecurity
By Joel Wertman
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Revisions to Accredited Investor Definition Recommended by SEC Staff
Revisions to Accredited Investor Definition Recommended by SEC Staff
By Joel Wertman
Activity
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Wow, MAJOR DEVELOPMENT in SEC litigation! The Supreme Court has just issued a decision limiting the power of the SEC to pursue civil fraud charges…
Wow, MAJOR DEVELOPMENT in SEC litigation! The Supreme Court has just issued a decision limiting the power of the SEC to pursue civil fraud charges…
Liked by Joel Wertman
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U.S. Supreme Court Claws Back SEC’s Enforcement Powers Read more here: https://lnkd.in/dAEHbmDb
U.S. Supreme Court Claws Back SEC’s Enforcement Powers Read more here: https://lnkd.in/dAEHbmDb
Liked by Joel Wertman
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I am thrilled to share that I'm joining WTW! This move will empower me to serve clients even better and I can't wait to share the best of what WTW…
I am thrilled to share that I'm joining WTW! This move will empower me to serve clients even better and I can't wait to share the best of what WTW…
Liked by Joel Wertman
Experience
Education
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Activities and Societies: Men's basketball team, creative writing teacher at Roland Park Middle School
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More activity by Joel
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WSS’s Philadelphia Office Prevails On Motion for Summary Judgment on behalf of Financial Advisor in Beneficiary Change…
WSS’s Philadelphia Office Prevails On Motion for Summary Judgment on behalf of Financial Advisor in Beneficiary Change…
Liked by Joel Wertman
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Happy Friday, #Playflyers 🥳 Before we sign off for the weekend, let's take a moment to recognize this week's Employee Spotlight, Nino Vanin! What…
Happy Friday, #Playflyers 🥳 Before we sign off for the weekend, let's take a moment to recognize this week's Employee Spotlight, Nino Vanin! What…
Liked by Joel Wertman
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With the continued growth of Coaction Global's Professional Liability book of business I wanted to take a moment to highlight the strength of our…
With the continued growth of Coaction Global's Professional Liability book of business I wanted to take a moment to highlight the strength of our…
Liked by Joel Wertman
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Great insight on the bigger picture for cyber insurance
Great insight on the bigger picture for cyber insurance
Liked by Joel Wertman
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Another SEC Order imposing significant penalties (against 8 differnt BD’s and RIA’s) for off-channel communications. Significantly, the SEC…
Another SEC Order imposing significant penalties (against 8 differnt BD’s and RIA’s) for off-channel communications. Significantly, the SEC…
Liked by Joel Wertman
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Artificial Intelligence at the Top of FINRA’s Annual Regulatory Oversight Report Read more here: https://lnkd.in/ebXTT6SK
Artificial Intelligence at the Top of FINRA’s Annual Regulatory Oversight Report Read more here: https://lnkd.in/ebXTT6SK
Liked by Joel Wertman
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Brian J. Palmeri and Meghan Daley Obtain Defense Verdict in FINRA Arbitration https://lnkd.in/eiqr2WYh
Brian J. Palmeri and Meghan Daley Obtain Defense Verdict in FINRA Arbitration https://lnkd.in/eiqr2WYh
Liked by Joel Wertman
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The SEC's Division of Examinations released its 2024 examination priorities of the key risks, examination topics, and priorities that the Division…
The SEC's Division of Examinations released its 2024 examination priorities of the key risks, examination topics, and priorities that the Division…
Shared by Joel Wertman
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For Cybersecurity Awareness Month, we checked in with Joe Niemczyk, Senior Director of Global Cyber Claims and Underwriting, for his top three tips…
For Cybersecurity Awareness Month, we checked in with Joe Niemczyk, Senior Director of Global Cyber Claims and Underwriting, for his top three tips…
Liked by Joel Wertman
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We stand with Israel and the Jewish people and send our prayers to all affected.
We stand with Israel and the Jewish people and send our prayers to all affected.
Liked by Joel Wertman
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