Speakers

Brian A. Carlis, Esq.,, Partner at Stark & Stark, P.C., represents clients in all aspects of securities arbitration proceedings and regulatory matters. Mr. Carlis counsels the financial services industry on a wide range of topics including, formation, compliance and employment-related matters.

Mr. Carlis is a frequent lecturer and commentator on securities arbitration and investment-related matters and has conducted arbitrator-training seminars for the Financial Industry Regulatory Authority, Office of Dispute Resolution. He has also conducted in-house seminars for brokerage and investment advisory firms, focusing on ways to minimize exposure to litigation and arbitration expense and regulatory scrutiny.

Brad Bueermann, Executive vice president with FP Transitions in charge of Business Development since 2005, created the Comprehensive Valuation Report, including a pro forma version for breakaway brokers, and is a nationally published writer on the subject of financial service practice valuations. He has led the development efforts in creating the Open Market Valuation Program and the continuing development of equity management strategies for advisory practices.

He has been involved in the merger and acquisition market for most of his career, and brings many years of experience in advising clients on valuation and merger and acquisition strategy.

After beginning in business with CitiBank in Milan, Italy, he returned to the US to start a brokerage firm in Portland, Oregon, specializing in acquisitions work within the agri-business and food processing sectors. In the late 1980s, he joined Venture Resources (owned by London based Christie Group plc) in Boston as Chief Operating Officer. He managed their franchised network of 200 plus brokerage offices specializing in the acquisition and sale of small to mid-cap privately held companies. The brokerage network he supervised completed over 2000 transactions per year during his tenure.

In the mid-nineties Mr. Bueermann became involved in a number of startups serving as both chief financial officer and strategist involving the development of new securitization products and later leading the acquisitions efforts for a startup in the biotech sector in Cambridge, Massachusetts.

ADVISER PANELISTS

CUSTODIAN REPRESENTATIVE PANELISTS

SPONSORED BY