Finra Unscripted

When it comes to bringing enforcement actions against individual brokers, there is a lot to consider, especially when the sanctions can be life altering for the individual in question. On this episode, we hear from Deputy Head of Enforcement Chris Kelly about what makes cases against individual brokers different from those brought against firms and all the considerations involved. Resources mentioned on this episode:FINRA EnforcementMonthly Disciplinary ActionsDisciplinary Actions Online DatabaseEpisode 69: Excessive Trading: When A Lot Becomes Too MuchEpisode 77: Behind the Process: How an Enforcement Action Becomes an Enforcement Action