This webinar includes a discussion of recent FINRA enforcement statistics, trends, and important cases. The presentation focuses on the types of enforcement issues that have received the most attention, and fines, from FINRA, including anti-money laundering, trade reporting, and suitability. The webinar includes key takeaways about what these cases could mean for firms and their representatives in the future.
- Brian Rubin is the Washington office leader of Sutherland’s Litigation group and the Administrative Partner in charge of the Securities Enforcement and Litigation Team. Brian previously served as Deputy Chief Counsel of Enforcement at NASD (FINRA) and Senior Enforcement Counsel at the SEC.
- Andrew McCormick is an Associate in Sutherland's Securities Enforcement and Litigation Team. Andrew regularly represents broker-dealers and investment advisers in investigations, enforcement actions, and civil litigation.
- Michelle Inferri is a Director of Sales at TerraNua. TerraNua is a leading provider of risk and compliance technology solutions, products include MyComplianceOffice and MySurveillanceOffice.
Link to Download: https://www.mycomplianceoffice.com/webinars.html