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2016 SEC and FINRA Cases;

New DOL's Fiduciary Cases

This webinar includes a discussion of FINRA’s recent enforcement statistics and trends. Our presenters, Brian Rubin and Andrew McCormick highlight some key 2016 SEC and FINRA cases and the significance they may have for broker-dealers and investment advisers. Our presenters also discuss litigation and regulatory enforcement issues related to the Department of Labor’s new fiduciary rule

 

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Brian Rubin

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.

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Andrew McCormick

Andrew McCormick is a Litigation Associate at Sutherland and represents financial firms in investigations, enforcement actions, and civil litigation

 

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

 

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