Named a Super Lawyer three years running, Sylvia M. Scott is a partner with Freeman, Freeman & Smiley, LLP, in Los Angeles, California. With experience supporting compliance professionals in the securities industry, she also serves on the faculty of the National Society of Compliance Professionals and speaks at conferences for the organization. Additionally, Sylvia M. Scott served as a panelist at a recent seminar hosted by her firm for financial advisors.
A complimentary seminar sponsored by Freeman, Freeman & Smiley, Financial Advisors: Safeguard Your Career was ideal for attorneys transitioning to a new brokerage firm or starting out in the field of financial advising. Held in Los Angeles and Orange County, California, the seminar served to help attendees protect their future and know their rights related to a variety of topics, including maintaining a clean industry record, communicating appropriately with clients, and managing promissory notes and transitional compensation. In addition to the moderator, Dan Jamieson, the editor at large of Financial Advisor magazine, panelists included Michael Blumenfeld and Robert Girard II experts in litigation, securities arbitration, and regulatory enforcement.