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Fraud Stoppers: FINRA’s Market Investigations Team

Fraud Stoppers: FINRA’s Market Investigations Team

FromFINRA Unscripted


Fraud Stoppers: FINRA’s Market Investigations Team

FromFINRA Unscripted

ratings:
Length:
24 minutes
Released:
Mar 22, 2022
Format:
Podcast episode

Description

Detecting and deterring fraud and insider trading is at the core of FINRA's mission of investor protection and market integrity. On this episode, Sam Draddy, the head of FINRA's Market Investigations team, joins us once again to talk about the latest trends and patterns in FINRA's fraud and insider trading investigations, including some stories about some of the craziest and most interesting cases of the past few years.How are we doing? Take the FINRA Unscripted survey today. Resources mentioned in this episode:Episode 23: Insider Trading: Finding the Needle in the Haystack
Released:
Mar 22, 2022
Format:
Podcast episode

Titles in the series (100)

FINRA Unscripted is the voice of the nation’s largest non-government securities regulator. We bring together FINRA leaders to discuss existing and emerging regulatory topics that impact the broker-dealer industry. We share best practices for compliance officers, insights into the operations of a 3,500 person self-regulated organization and educational tools and information for investors. Every investor in America relies on one thing: fair financial markets. That is what FINRA works every day to ensure.