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Expert Analysis

FINRA Continues To Step Up Focus On Senior Investors

By Bruce Bettigole and Sarah Razaq Sallis (June 27, 2017, 11:31 AM EDT) -- In April 2017, the Financial Industry Regulatory Authority's National Adjudicatory Council (NAC) introduced new sanction guidelines that allow the NAC and FINRA staff to consider the vulnerability of customers in determining appropriate sanction levels.[1] The guidelines provide for a new "principal consideration that analyzes whether a respondent has exercised undue influence over a customer,"[2] a factor for adjudicators and FINRA staff[3] to consider in determining appropriate sanctions.[4]...

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