FINRA to Create a New Centralized Enforcement Office

Posted on August 1st, 2017 at 1:25 PM
FINRA to Create a New Centralized Enforcement Office

From the Desk of Jim Eccleston at Eccleston Law LLC:

FINRA has created a new centralized enforcement office which will merge the office which handles disciplinary actions with another office that covers a broad swath of regulatory oversight cases, from corporate finance to fraud detection.

The creation of the new enforcement office is the latest move by FINRA in accomplishing its goal of creating a uniform approach to charging and sanctioning its members and associated persons, and in turn better target developing issues that could harm investors.

FINRA has selected Susan Schroeder, formerly its Deputy Chief of Enforcement, to head the new office.

The attorneys of Eccleston Law LLC represent investors and advisors nationwide in securities and employment matters. The securities lawyers at Eccleston Law also practice a variety of other areas of practice for financial advisors including Broker Litigation & ArbitrationStrategic Consulting ServicesRegulatory  MattersTransition Contract Review, and much more. Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services. If you are in need of legal services, contact us to schedule a one-on-one consultation today.

Related Attorneys: James J. Eccleston

Tags: Jim Eccleston, Eccleston Law, Eccleston Law LLC, Eccleston, FINRA, enforcement

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Fantastic news!!!!  Your professionalism, support and expertise were greatly appreciated.  You made a difficult situation much more bearable.

Marci M.


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