SEC and FINRA Enforcement
Purchase and watch the individual webinar at your convenience.
$79 for members | $99 for non-members.
Workshop 2023 Bundle
Purchase a bundle of all 19 recorded sessions from the Workshop 2023 and save.
This panel will examine recent and notable SEC and FINRA Enforcement actions and provide an overview of the priorities of the SEC’s Public Finance Abuse Unit and FINRA. The panel will also provide an overview of the investigation process for the SEC and FINRA.
- Ed Fierro, Bracewell LLP
- Brian Fagel, U.S. Securities and Exchange Commission (SEC)
- Meghan Ferguson, FINRA
- Drew R. Kintzinger, Hunton Andrews Kurth LLP