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Financial Industry Regulatory Authority (FINRA) Sweep of Broker-Dealer Referrals of Investment Advisory Services

January 29, 2009

Webinar

Sutherland Partner Brian L. Rubin is speaking on a Webinar Thursday, January 29, 2009, at 5:00 p.m., EST, to discuss a sweep being conducted by the Financial Industry Regulatory Authority’s (FINRA’s) Enforcement Department. The sweep involves broker-dealers’ (BDs) recommendations to and referrals of their customers to investment advisers for investment advisory services.

Following the recent highly publicized allegations made against Bernard Madoff regarding a reputed Ponzi scheme, FINRA has turned it sights on BDs that referred customers to investment advisers, including those associated with Mr. Madoff.

For more information and to register for this event, click here.

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