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Join the Securities Litigation and Enforcement Group on LinkedInSecurities Docket News Wire for June 19, 2014
Get caught up with the Securities Docket News Wire for June 19, 2014.
Message from FINRA Enforcement chief: “talk to me” — Reed Smith
Earlier this week, J. Bradley Bennett, Executive Vice-President, Enforcement for FINRA, spoke at a gathering hosted by SIFMA’s Compliance & Legal Society…. Of particular interest, however, was Bennett’s repeated entreaties throughout his remarks to “ask for a meeting” with him and his senior staff. Indeed, he indicated his surprise at the paucity of such requests. via […]