Executives, Branch Managers and other Supervisors have faced increasing regulatory scrutiny in recent years and are frequently the subject of disciplinary proceedings brought by FINRA. Once a disciplinary charge is filed, FINRA Enforcement or Market Regulation often make onerous settlement proposals, including demands for lengthy suspensions and large fines. Many respondents feel they have no choice but to capitulate to those demands. However, experience has shown that FINRA Enforcement is not invincible, and certain strategies have proven effective in defending disciplinary charges.
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