Category Archives: FINRA
New and Amended FINRA Rules Protecting Seniors from Financial Exploitation
What would you do as a firm if you suspected that a customer’s child was misappropriating funds from his elderly parents’ financial accounts? Or if the compliance department noticed a pattern of suspicious transactions from a customer’s account, and that … Continue reading
The Briggs Forum on Financial Markets: Securities, Insurance, Litigation and Regulation is Thursday, April 20
The Briggs Forum on Financial Markets: Securities, Insurance, Litigation and Regulation (formerly known as the Upper Midwest Securities Litigation and Enforcement Forum) is Thursday, April 20 at Windows on Minnesota, on the 50th floor of the IDS Center. Our exceptional … Continue reading
Dan Supalla
Lauren Lonergan