FINRA Enforcement: Bringing Cases Against Individual Brokers
FINRA Unscripted
English - September 20, 2022 10:30 - 16 minutes - 15.2 MB - ★★★★★ - 45 ratingsGovernment Business finra compliance regulation regulator financial services stocks bonds stock broker brokerage firm investing Homepage Download Apple Podcasts Google Podcasts Overcast Castro Pocket Casts RSS feed
Previous Episode: Regulatory Operations: Stronger Regulation Through Integrated Oversight
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 Enforcement
Disciplinary Actions Online Database
Episode 69: Excessive Trading: When A Lot Becomes Too Much
Episode 77: Behind the Process: How an Enforcement Action Becomes an Enforcement Action