Andrew Sherwood

Andrew Sherwood

Jackson Lewis P.C.

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Ten State Attorneys General Launch Inquiry into Major Financial Institutions’ DEI & ESG Programs

The Attorneys General of ten states have issued a letter challenging the diversity, equity, and inclusion (DEI) and environmental, social, and governance (ESG) programs at six major financial institutions in the United...more

1/30/2025  /  Compliance , Discrimination , Diversity and Inclusion Standards (D&I) , Enforcement Actions , Environmental Social & Governance (ESG) , Executive Orders , Financial Institutions , State Attorneys General , Trump Administration

What Companies Can Learn from FINRA’s Significant Enforcement Areas in First Half 2024

For securities industry employers, Financial Industry Regulatory Authority (FINRA) disciplinary actions and fines can be costly. FINRA disciplinary actions in the first half of 2024 show three areas of significant regulatory...more

8/19/2024  /  Censures , Electronic Communications , Email Policies , Failure To Preserve , Financial Industry Regulatory Authority (FINRA) , Fines , Influencers , Investment Adviser , Misleading Impressions , Social Media
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