ENFORCEMENT DEFENSE

When you receive an “8210 letter” from FINRA, your whole world can change.  FINRA does not have subpoena power; rather, their investigative power comes from FINRA Rule 8210.  But, that rule is very powerful when it comes to member…

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J.P. Morgan’s Marketing Mishap

In its latest press release, the SEC announced that J.P. Morgan’s (JPMS) brokerage business agreed to pay $4 million to settle the claim that they made false statements in their marketing materials and on their website. The incorrect materials…

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The SEC and their Cybersecurity

The SEC’s challenges in implementing their own cybersecurity protocols could be similar to your firm. On December 16th, Commissioner Luis A. Aguilar of the Securities and Exchange Commission (“Commission”) released a public statement titled “Being a Responsible Steward: Ensuring…

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