‘Enforcement 40’ for 2020
Our Sponsors
Join Us On LinkedIn
Join the Securities Litigation and Enforcement Group on LinkedInFormer FINRA Senior Officer Elizabeth Hogan Joins McGuireWoods’ Securities Enforcement & Litigation Team | McGuireWoods
McGuireWoods is pleased to announce that Elizabeth Hogan, former senior vice president of market regulation enforcement at the Financial Industry Regulatory Authority (FINRA), has joined the firm’s nationally recognized Government Investigations & White Collar Litigation Department in Washington, D.C. via Former FINRA Senior Officer Elizabeth Hogan Joins McGuireWoods’ Securities Enforcement & Litigation Team | McGuireWoods.
FINRA Wants To Serve Docs By Email Amid Crisis Challenges – Law360
The Financial Industry Regulatory Authority says the shift to remote work caused by the coronavirus pandemic has made it difficult for its employees to serve documents in hard copy as required by law, but a quick rule change could ease the pressure. FINRA asked the U.S. Securities and Exchange Commission on Thursday to approve a […]
FINRA EVP Of Office Of Fraud Detection And Market Intelligence Cameron Funkhouser Announces Retirement
FINRA today announced the retirement of Executive Vice President Cam Funkhouser after more than 35 years of service at the organization. Funkhouser has led FINRA’s Office of Fraud Detection and Market Intelligence (OFDMI) – including the Insider Trading and Fraud Surveillance units, FINRA’s Complaint Center and FINRA’s Whistleblower program – since its creation 10 years […]
Former FINRA Department of Enforcement Director Joins Shearman & Sterling | Shearman & Sterling
Shearman & Sterling is delighted to announce that Sara Raisner has joined the firm’s Litigation and Enforcement practice as counsel. She will be based in the firm’s New York office. Prior to joining Shearman & Sterling, Sara was a Director in FINRA’s Department of Enforcement. During her time at FINRA, Sara led a team of […]
Four Partners Join King & Spalding with Regulatory Expertise from FINRA – King & Spalding
King & Spalding today announced that Mirella deRose, Russell Johnston, Richard Margolies and Michael Watling joined as partners in the Government Matters practice and the Securities Enforcement and Regulation team in the New York office. All four partners served as senior attorneys with the Financial Industry Regulatory Authority (FINRA) Department of Enforcement. Johnston, Margolies and […]
Former FINRA SVP and Chief Counsel for Enforcement Joins Katten | Markets Insider
Katten Muchin Rosenman LLP announced today that Susan Light, a highly regarded securities regulatory enforcement leader, has joined the firm as a partner in its Financial Services practice in New York. via Former FINRA SVP and Chief Counsel for Enforcement Joins Katten | Markets Inside
U.S. Finance Watchdog Takes Aim at Cryptocurrency
The Financial Industry Regulatory Authority (FINRA), a self-regulatory body for broker-dealersm has released a regulatory notice to mandate its member to notify the authority if they engage in any cryptocurrency activity. Though the notice outlines what constitutes cryptocurrency activities, it does not detail how FINRA would use these disclosures nor does its website show any […]
FINRA Enforcement Units, Unite! | ThinkAdvisor
…But also on the minds of industry watchers is how the Financial Industry Regulatory Authority is moving along in integrating its two enforcement divisions — now aptly called “One Enforcement” by the broker-dealer self-regulator. Who’s the person to ask? Susan Schroeder, of course, who heads FINRA’s enforcement team. During a recent FINRA Unscripted podcast, she […]
FINRA Enforcement: New Direction for the Regulator – Lexology
The guidance Schroeder conveyed, if acted on, can potentially save firms and individuals a lot of stress, anxiety, money (especially in fines) and reputational damage. Does that mean there will be no more enforcement actions? Of course not. What it does mean is that the leaders of this enforcement program and of FINRA have staked […]
FINRA warns public about fake . . . FINRA – The FCPA Blog
The Financial Industry Regulatory Authority (FINRA) warned about con artists posing as FINRA to make phony investment pitches. Scammers are using FINRA’s name and logo in letters that say FINRA is guaranteeing investments. The letters include a fake signature from FINRA president and CEO Robert W. Cook. It’s actually an advance-fee scam. via FINRA warns […]