FINRA: Promulgating Tougher Sanctions Guidance for Rule Violations

Broadcast Date: Wednesday, October 07, 2015 from 3:00 pm to 5:00 pm (ET)
Alan Lawhead
Zandra Foley
Joel R. Beck
James C. Cosby



The Financial Industry Regulatory Authority is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission, while also benefiting from the SEC’s oversight. FINRA’s independent regulation plays a critical role in America’s financial system—all at no cost to taxpayers. 

About Thompson Coe Cousins & Irons, L.L.P.

For more than 60 years, Thompson Coe has been recognized as a premier litigation firm and national authority on insurance law. With offices in Dallas, Austin, and Houston, Texas, Saint Paul, Minnesota and Los Angeles, California, Thompson Coe not only provides a full range of services to the insurance industry, but also offers many other client services in labor and employment, commercial litigation, premises and product liability, professional liability, mass tort, appellate, construction and commercial transactions to name a few. Clients choose Thompson Coe because the firm provides a total, integrated solution to their legal service needs. Thompson Coe operates as Thompson Coe & O'Meara, LLP in California.


About The Beck Law Firm, LLC

The Beck Law Firm, LLC is a boutique law firm in Lawrenceville, Georgia that serves clients in the area of financial markets law, business law and estate planning.  In its financial markets practice, the firm represents broker-dealers, registered investment advisers, as well as financial advisors in regulatory and litigation matters, including investigations and actions brought by the U.S. Securities and Exchange Commission, FINRA and state securities regulators.  The firm also provides counsel to firms and individuals in broker-dealer and RIA compliance matters, and represents industry participants in arbitration cases.


About Vandeventer Black LLP

Vandeventer Black LLP is a full-service business law firm established in 1883.  The firm has long-standing strengths in commercial litigation and professional liability matters across a number of industries and businesses.  Headquartered in Norfolk, Virginia, the firm’s lawyers practice from five offices located in Virginia and North Carolina, as well as an affiliated office in Hamburg, Germany.  Vandeventer Black has been a firm of choice for significant legal matters for over 100 years. For more information, please visit