April 08, 2019

Jim Lundy Discusses Issues With FINRA Targeting Repeat Offenders in FundFire

Chicago partner Jim Lundy was quoted in the FundFire article titled “FINRA Targets Repeat Offenders with New Proposal” regarding the Financial Industry Regulatory Authority’s (FINRA) proposal that would give more power to examiners when it comes to penalizing repeated   misconduct. The proposal also would focus on brokerage firms and brokerage representatives that have ignored findings from prior FINRA exams.  

Jim said he is not surprised that FINRA is taking more aggressive action against firms and brokers with “checkered pasts.” He also noted that how FINRA moves forward is crucial.

Read “FINRA Targets Repeat Offenders with New Proposal.” (Subscription Required)

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