SEC & FINRA Enforcement Actions: Will 2017 "Trump" 2016? - Intro


This webinar co-hosted with Brian Rubin and Adam Pollet of Sutherland took place on Dec 8th 2016. In it we looked back at the top FINRA & SEC enforcement actions from 2016, some key cases and some predictions for the securities industry in 2017.

 You can download a full copy of the slides from this webinar.


Read our blog post, "FINRA Fines 2016 - 7 Key Facts" 
This webinar was co-hosted with Brian Rubin and Adam Pollet of Sutherland Asbill & Brennan LLP. To learn more visit

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