Steven Phillips

Steven Phillips

Jackson Lewis P.C.

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What Companies Can Learn from FINRA’s Significant Enforcement Areas in First Half 2024

For securities industry employers, Financial Industry Regulatory Authority (FINRA) disciplinary actions and fines can be costly. FINRA disciplinary actions in the first half of 2024 show three areas of significant regulatory...more

8/19/2024  /  Censures , Electronic Communications , Email Policies , Failure To Preserve , Financial Industry Regulatory Authority (FINRA) , Fines , Influencers , Investment Adviser , Misleading Impressions , Social Media
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