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 brings over 45 years of public and private sector and law and business school teaching experience in forensic investigations, compliance, and risk management. He helps organizations and counsel […]
