Senator Elizabeth Warren wants regulators to make sure Wall Street doesn’t dodge the #MeToo movement.
Warren, the finance industry’s leading critic in Congress, asked the Securities and Exchange Commission what it’s done to ensure banks have established policies and disciplinary systems to prevent sexual harassment. The Massachusetts Democrat and two other senators also asked the Financial Industry Regulatory Authority, which oversees broker-dealers, for data on the prevalence of abuse in the industry.
‘Enforcement 40’ for 2020
Join Us On LinkedIn
Join the Securities Litigation and Enforcement Group on LinkedIn