September 13, 2012 – StoneTurn partner Jonny Frank presented to the Financial Industry Regulation Authority (FINRA) in New York, NY on “Beware the Wolf in Sheep’s Clothing: Evaluating Respondents’ Remediation Efforts.” The discussion focused on FINRA’s sanction guidelines and how to consider a respondent’s remedation in the context of the guidelines and any potential impact in sanctions imposed by FINRA.
For a copy of the presentation, please contact Kyla Curley at kcurley@stoneturn.com.
Meet Jonny
Jonny Frank
Jonny Frank, a Partner with StoneTurn, brings more than 40 years of public, private and education sector experience in forensic investigations, compliance and risk management. He joined StoneTurn in 2011 […]
