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Mid-Year Report: FINRA Enforcement Builds Momentum After Historic Penalties | King & Spalding

Published: August 29, 2022

After collecting near-record amounts in fines, restitution, and disgorgement in 2021 – which included a $70 million monetary penalty against a financial institution in a single action –...

Source: jdsupra.com

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Joseph ZalesAshley CorderoJessica HopperDepartment Of EnforcementExchange Act RuleAegis Capital CorpCustomer Protection RuleExecutive Vice PresidentCustomer ProtectionLaw Clerk Ashley CorderoSummer Associate MichAegis CapitalCustomers Whose Accounts Were ExcessivelyUnsuitably TradedTwo Supervisors FinedRed FlagsRepresentatives SanctionedCommercial HonorOperational RulesSuisse SecuritiesMultiple Operational FailuresCrowdfunding Rule ViolationsStartengine Capital Separately Fined