FINRA’s 2016 Examination Priorities Identifies New Initiatives on Market Integrity and Firm Culture and Further Concern on Supervision and Controls

January 8, 2016

SEC Sanctions Senior Executives Of Failed Clearing Broker

September 19, 2015

FINRA Bars Former President Of Broker-Dealer Along With Former Registered Representatives

September 16, 2015

Mark Harris Speaks with Compliance Week on Proposed Changes to Sentencing Guidelines

April 23, 2015

U.S. Sentencing Commission Approves Amending Sentencing Guidelines to Reduce Penalties for Economic Crimes

April 17, 2015

Constitutional Challenges to SEC Administrative Proceedings

April 10, 2015

DOJ Opposes Amendments to Economic Crime Sentencing Guidelines

April 9, 2015