‘Enforcement 40’ for 2020
Join Us On LinkedIn
Join the Securities Litigation and Enforcement Group on LinkedIn
You are browsing the site archives by date.
By Securities Docket on June 20, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for June 19, 2014.
By Securities Docket on June 20, 2014, 8:48 am
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 […]