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VIDEO

Current Issues in FINRA Arbitration and Enforcement

Laura A. Pizzitola, Tino M. Lisella, and Joseph S. Simms

Learn about the current state of FINRA arbitration proceedings and enforcement matters, including tips and trends in arbitration; regulatory and enforcement developments; and the 2023 Report on FINRA’s Exam and Risk Monitoring Program.

Sponsored by the Securities Litigation Committee