Alan Wolper

UB Greensfelder LLP

+ Follow Contact

Latest Posts › Burden of Proof

Share:

FINRA Touts The Fact That Its Examinations Need Not Be “Fair”

While I feel I have enjoyed as much success defending respondents in FINRA Enforcement matters as anyone, I am still careful to caution clients who are unwilling to consider any settlement that going toe-to-toe with FINRA at...more

5/31/2019 / Appeals , Audits , Broker-Dealer , Burden of Proof , Disciplinary Proceedings , Enforcement Actions , Financial Industry Regulatory Authority (FINRA) , Securities and Exchange Commission (SEC) , Securities Exchange Act

FINRA Proposes To Dispense With Due Process, All Because It’s Failed To Do Its Job Of Policing The Markets

Reading Reg Notice 19-17 makes me think of the legal arguments that I’ve recently read regarding whether a president can be found guilty of obstructing justice if the actions in question were taken out in the open, for...more

5/8/2019 / Broker-Dealer , Burden of Proof , Due Process , Enforcement Actions , Financial Industry Regulatory Authority (FINRA) , Financial Services Industry , High Risk Financial Products , Regulatory Agenda , Terms and Conditions

FINRA Says, Proof? We Don’t Need Your Stinkin’ Proof

If you are a regular reader of this blog, then you know that over my last few posts, I have been talking about an increasingly visible effort by FINRA to turn its regulatory eye from rogue brokers – who have been an irritant...more

3/28/2019 / Broker-Dealer , Burden of Proof , Enforcement Actions , Financial Industry Regulatory Authority (FINRA) , Financial Services Industry , High Risk Financial Products , Regulatory Agenda

3 Results

View per page

Page: of 1