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FINRA Enforcement Action against broker-dealer and its principal.

Case Title: FINRA Enforcement Action against broker-dealer and its principal.
Practice Area: Governmental and Regulatory Investigations 
Case Desc:

Representation of a broker-dealer firm and its principal and owner in an investigation and enforcement action brought by the Financial Services Regulatory Authority, involving alleged violations of the net capital, record-keeping and supervisory rules.

Successfully negotiated a settlement in which the principal was not named in the enforcement action and the firm, while sanctioned, was permitted to continue in business.

Attorney(s): Paul D. Sarkozi, Ralph A. Siciliano 
Industry: Financial Services 
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