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James Unger

James Unger

ID: 1b838ddd-2619-30fb-68c4

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Claimed Record

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Organization: Proskauer Rose LLP

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

Corporate Defense and Disputes · January 8, 2016

SEC Sanctions Senior Executives Of Failed Clearing Broker

Corporate Defense and Disputes · September 19, 2015

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

Corporate Defense and Disputes · September 16, 2015

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

Corporate Defense and Disputes · April 23, 2015

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

Corporate Defense and Disputes · April 17, 2015

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Practice Areas

Banking, Finance and Securities

Business and Commercial

Jurisdictions

Publishing Record

Publisher Since 2015

Total Articles 8

Most Recent January 8, 2016

Cite This Author

James Unger, Proskauer Rose LLP

LexBlog Author ID:

1b838ddd-2619-30fb-68c4

www.lexblog.com/author/junger

Contact

FirmProskauer Rose LLP

Emailjunger@proskauer.com

BlogCorporate Defense and Disputes

Call us at 1-800-913-0988 or email sales@lexblog.com.

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