The Latest

Geoffrey Millsom Quoted in Mass Lawyers Weekly on SEC Ruling

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.

Click here to read full article


Posted In:
Back to Top