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Represented a major insurance subsidiary in a FINRA investigation of gifts and gratuities.

ClientBroker-dealer subsidiary of major insurance company
Description
Advised the broker-dealer subsidiary of a major insurance company in a FINRA investigation of gifts and gratuities. FINRA did not pursue any disciplinary actions.
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click to watch Videocast: DOL Fiduciary Rule Litigation Impacts
Videocast: DOL Fiduciary Rule Litigation Impacts
Atlanta, GA
Washington, DC
© 2017 Sutherland Asbill & Brennan LLP / Sutherland (Europe) LLP
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Experience - Represented a major insurance subsidiary in a FINRA investigation of gifts and gratuities.
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