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Defense of FINRA Investigations and Disciplinary Proceedings

Presented by Robert Herskovitz

(2,888 Ratings)

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Course Description

Length: 1h 4min    Published: 9/26/2022    
The Financial Industry Regulatory Authority (FINRA) is an organization that represents broker-dealers. The rules and regulations promulgated by are thorough and often complex. In this program, NY securities litigator Robert Herskovitz will give attorneys an overview of FINRA and will provide viewers with an understanding on how to navigate a FINRA investigation and disciplinary proceeding.
Learning Objectives
* Get an overview of FINRA
* Learn what activities can trigger a FINRA investigation
* Understand the FINRA investigation process
Read the course transcript.

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Presented By:

Robert Herskovitz

New York, NY


Featured Reviews

"Great presentation. Highly recommended."

   Stuart M

"Excellent overview with practical aspects highlighted"

   Laureen B