12 min listen
FINRA Enforcement: Bringing Cases Against Individual Brokers
FromFINRA Unscripted
ratings:
Length:
17 minutes
Released:
Sep 20, 2022
Format:
Podcast episode
Description
When it comes to bringing enforcement actions against individual brokers, there is a lot to consider, especially when the sanctions can be life altering for the individual in question. On this episode, we hear from Deputy Head of Enforcement Chris Kelly about what makes cases against individual brokers different from those brought against firms and all the considerations involved. Resources mentioned on this episode:FINRA EnforcementMonthly Disciplinary ActionsDisciplinary Actions Online DatabaseEpisode 69: Excessive Trading: When A Lot Becomes Too MuchEpisode 77: Behind the Process: How an Enforcement Action Becomes an Enforcement Action
Released:
Sep 20, 2022
Format:
Podcast episode
Titles in the series (100)
Building A More Transparent Organization: Long before transparency was a buzzword, it was central to FINRA’s mission. Transparent markets and educated investors ensure our markets remain strong and public trust in our markets remain high. Today, we sit down with FINRA’s Marcia Asquith, EVP for Board and External Relations, to hear how FINRA is improving transparency not only in financial markets, but also in its own operations. by FINRA Unscripted