EPISODE · May 28, 2024 · 34 MIN
FINRA’s High-Risk Representative Program: Keeping an Eye on Individuals Posing a Heightened Risk of Misconduct
from FINRA Unscripted · host FINRA
Protecting investors from harm is a top FINRA priority. And when it comes to specific individuals who may pose a risk, FINRA's High Risk Representative (HRR) Program is on the case. On this episode, Brooks Brown, Senior Director, and Eric Hebert and John Salerno, Investigative Directors, from the HRR unit join us to explain how they identify and monitor individuals who pose an elevated risk of misconduct to protect investors and maintain the integrity of the market. Resources mentioned in this episode:Episode 114: Bringing Cases Against Individual BrokersEpisode 150: A Cybersecurity Update with FINRA’s Complex Investigations and Intelligence Team (CII)Key Topic: Protecting Investors from MisconductVirtual Conference Panel: Supervision of High-Risk Activities Find us: LinkedIn / X / YouTube / Facebook / Instagram / E-mailSubscribe to our show on Apple Podcasts, Google Play and by RSS.
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What this episode covers
Protecting investors from harm is a top FINRA priority. And when it comes to specific individuals who may pose a risk, FINRA's High Risk Representative Program is on the case, identifying and monitoring individuals who pose an elevated risk of misconduct to protect investors and maintain the integrity of the market.
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FINRA’s High-Risk Representative Program: Keeping an Eye on Individuals Posing a Heightened Risk of Misconduct
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