Compliance Current Affairs
In this segment from the MyComplianceOffice December Webinar, co-hosted by Sutherland Asbill and Brennan, LLP, Brian Rubin and Andrew McCormick discuss 2015 FINRA enforcement trends and statistics and key takeaways for 2016.
Brian 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 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.
You can download a full copy of the slides from this webinar.