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Firms Need to Thoroughly Review Documents Given to FINRA

April 18, 2011
In the April 18, 2011 BD Week article, "Enforcement Alert: Be real knowledgeable about what you give FINRA after document request," Litigation partner Brian L. Rubin emphasizes the importance of firms being aware of what they submit to FINRA to ensure the information and documents are accurate and compliant. According to the article, FINRA recently fined a firm for not providing authentic information. The firm claimed they were unaware of the issues with the submitted materials. Rubin said that it's notable that the firm was cited for a rule violation even though the firm was unaware there were problems with the submitted material until after the fact.

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Adam C. Pollet, Associate
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