Massachusetts Lawyers Weekly article “SEC rules actual notice needed to bar broker” was about a ruling by the Securities and Exchange Commission (SEC) that reversed a lifetime ban from the securities industry that was imposed on a broker by the Financial Industry Regulatory Authority (FINRA). Geoff referred to the decision as a “wake up call to FINRA to not be so heavy handed” in sanctioning brokers simply for failing to respond to FINRA’s requests for information.
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