Craig Dashiell

Craig Dashiell

Lowenstein Sandler LLP

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Recent Developments in FINRA’s Award of Credit for Extraordinary Cooperation Offers Guidance to Member Firms

In 2020, the Financial Industry Regulatory Authority Inc. (FINRA) settled alleged rule violations with various large investment firms, including Merrill Lynch, Citigroup Global Markets Inc. (CGMI), Transamerica Financial...more

12/30/2020  /  529 Plans , Capital Markets , Disclosure Requirements , Enforcement Actions , Financial Industry Regulatory Authority (FINRA) , Investment Firms , Investment Management , Policies and Procedures , Self-Reporting
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