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Behind the Process: How an Enforcement Action Becomes an Enforcement Action

Behind the Process: How an Enforcement Action Becomes an Enforcement Action | FINRA Unscripted
Behind the Process: How an Enforcement Action Becomes an Enforcement Action

From a regulator’s prospective, FINRA’s head of Enforcement walks you through the process and the possible outcomes.

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Securities Attorney at Sallah Astarita & Cox | 212-509-6544 | mja@sallahlaw.com | Website | + posts

Mark Astarita is a nationally recognized securities attorney, who represents investors, financial professionals and firms in securities litigation, arbitration and regulatory matters, including SEC and FINRA investigations and enforcement proceedings.

He is a partner in the national securities law firm Sallah Astarita & Cox, LLC, and the founder of The Securities Law Home Page - SECLaw.com, which was one of the first legal topic sites on the Internet. It went online in 1995 and is updated daily with news, commentary and securities law related links.

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