Partner James Heavey Offers Insight into Recent FINRA Regulatory Enforcement Action
In a recent Advisor Hub article, Partner James Heavey offered his commentary on a recent penalty assessed by FINRA against a broker for delegating continuing education requirements. Instead of completing the educational modules himself, the broker allegedly had a client service associate complete the work for him. James noted that, “The suspension shows that Finra is taking these things very seriously. It goes back to the integrity of the regulatory scheme, and Finra’s ability to show the brokers it means business when it comes to keeping up-to-date with their obligations to clients.” You can find the full article here.