Daniel Herbst
FINRA Publishes New Sanction Guidelines Urging Harsher Penalties for Violations
Global Regulatory Enforcement Law Blog ·
Will the Third Time be the Charm for FINRA’s New Supervision Rules?
Global Regulatory Enforcement Law Blog ·
“Know Your Customer” No More? The SEC Signals a Uniform Fiduciary Standard May Be Coming for Broker-Dealers and Investment Advisers
Global Regulatory Enforcement Law Blog ·
The Death of Class Actions? A FINRA Panel Ruling Could Signal the End of Class Claims against Brokers
Global Regulatory Enforcement Law Blog ·
Industry Gives Chilly Response to FINRA’s Proposed Recruitment Compensation Disclosure Rule
Global Regulatory Enforcement Law Blog ·