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President/CEO Liability in SEC and FINRA Disciplinary Proceedings

August 10, 2011

Sutherland attorneys Brian L. Rubin and Yvonne M. Williams analyze Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) enforcement actions taken against presidents and chief executive officers of broker-dealers and investment advisers in the attached article, "The Buck Stops . . . Where? Liability of Presidents and Chief Executive Officers in SEC and FINRA Enforcement Actions." In the article, which was recently published in BNA Securities Regulation & Law Report, Rubin and Williams review liability and sanctions in numerous recent cases and present steps to help minimize personal exposure.

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