Enforcement Actions

SEC Enforcement Actions: Key Takeaways for 2020

Enforcement actions can be scary, especially if you or your Firm are named in the enforcement. For the rest of us, enforcement actions provide valuable information on patterns of misconduct, rule violations, and overall cautionary tales.

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Recent Enforcement Actions from FINRA

As summarized below, FINRA recently announced some recent enforcement actions against member firms that we wanted to share with you.  We have selected these specific cases to share as we feel these are very important areas of compliance within a broker-dealer.  More importantly, each of the examples summarized below were easily preventable.  Firms must ensure that its personnel receive adequate training and have the requisite experience when assigned supervisory responsibilities, and also have an obligation to ensure its policies and procedures are being followed. Read More…