In a settlement that seems to offer an object lesson to those caught in the regulatory crosshairs, Foothill Securities was censured and fined $210,000 by ...
The Need for Greater Secondary Market Liquidity for Small Businesses
Opening Statement to the March 2015 Meeting of the SEC Advisory Committee on Small and Emerging Companies
Opening Remarks at Meeting of SEC Advisory Committee on Small and Emerging Companies
The word-search lexicon at Garden State Securities in Red Bank, N.J., includes “disappointed,” “complaint,” and “regulator” – as well as “off the record” and “talk ...
Remarks at CBI's Pharmaceutical Compliance Congress
Broker-dealers must supervise private securities transactions where the rep is compensated, under FINRA rules. They also must record the transactions on their books and records. ...
Statement on the Aggregate Impact of Financial Services Regulations
It’s no secret that FINRA takes very seriously private securities transactions by personnel affiliated with broker-dealers (IA Watch, March 4, 2015). Recently, it has been ...
Remarks at SIFMA's 2015 Anti-Money Laundering & Financial Crimes Conference