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Securities Compliance Sentinel Analysis of cutting-edge securities industry issues

Josh Horn Quoted on rise in FINRA Enforcement Proceedings

Posted in Broker-Dealer Regulation, Compliance and Supervision, FINRA Enforcement, Registered Representatives

Our partner, Josh Horn, was recently quoted on the rise of FINRA enforcment proceedings.  Great analysis from Josh.  Here is the link:  http://www.foxrothschild.com/newspubs/newspubsArticle.aspx?id=15032386143