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Brokerage CEOs in the Crosshairs

September 1, 2011

In an article published in Securities Technology Monitor, Sutherland Partner Brian L. Rubin and Associate Yvonne M. Williams analyze recent enforcement actions against presidents and chief executive officers of broker-dealers and investment advisers by the Securities and Exchange Commission and the Financial Industry Regulatory Authority. In addition to reviewing liability and sanctions in numerous cases, Rubin and Williams present steps to help minimize personal exposure. 

To view the article in full, click here.

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