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FINRA Disciplinary Actions, Fines, Dropped in 2022

Eversheds Sutherland report found FINRA disciplinary actions and fines dropped from 2021 to 2022; according to partners, Reg BI actions are likely to rise.

Adamc polletBrian rubinExchange commissionFinancial industry regulatory authorityEversheds sutherland top enforcement issues

Lessons from Waddell & Reed reverse churning case

A $775,000 settlement for Waddell & Reed relating to its pre-LPL days displays how the regulator is ramping up enforcement of such cases, experts said.

Nicole boysonWaddell reedSusan schroederRaymond jamesBrian rubinLinda morganNortheastern universityWall streetWilmerhale partner susan schroederEversheds sutherland washingtonKovack advisorsRegulation bestRegulation and complianceLpl financial

Theorycraft Games Raises $50 Million to Maintain Long-Term Focus on Talent and Game

Theorycraft Games Raises $50 Million to Maintain Long-Term Focus on Talent and Game
streetinsider.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from streetinsider.com Daily Mail and Mail on Sunday newspapers.

United statesMoby franckeMike tipulJay chiJon bellissJoe tungMichael evansLos angelesBrian rubinAreeb piraniChris tomAndrew yipMakers fundTeam fortressValve softwareIndependent game developer

A Tale of Two Enforcement Actions Against Compliance Officers: An analysis applying the NSCP Firm and CCO Liability Framework | Eversheds Sutherland (US) LLP

Many compliance officers believe they have targets on their backs. Indeed, according to industry-wide surveys conducted by the National Society of Compliance Professional (NSCP), 72% of.

Brian rubinAmy albaneseEversheds sutherlandNational society of compliance professionalNational societyCompliance professional

Dear SEC: The compliance community wants to be a partner, not a target

Dear SEC: The compliance community wants to be a partner, not a target
complianceweek.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from complianceweek.com Daily Mail and Mail on Sunday newspapers.

Jeffrey kirkpatrickBrian rubinHester peirceEversheds sutherlandAdam polletNational society of compliance professionalsYork city bar associationNew york city bar associationNational societyCompliance professionals

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