Ernest Badway will be speaking at a Citrin Cooperman event on October 27, 2011, on the topic of Advisors and Fund Managers. Please contact Alyssa Parrilla, 212.697.1000 Ext. 1838, aparrilla@citrincooperman.com, to RSVP. 

 

Event Invitation
The Financial Industry Group would like to invite you to an evening of networking with your industry peers as we

The Second Circuit Court of Appeals has ruled that the Financial Industry Regulatory Authority (“FINRA”) cannot seek to enforce a monetary fine through a judgment with the court.  What does this mean for broker-dealers?

In 1998, NASD, FINRA’s predecessor, brought an enforcement proceedings against a broker-dealer.  After a hearing, a panel concluded that the firm