From NCFC to Enforcement Head: Reintroducing Bill St. Louis

FINRA Enforcement works tirelessly on the front lines of investor protection, whether looking into cases of fraud or ways that bad actors try to manipulate the markets. This tremendous undertaking demands steadfast leadership. On this episode, we meet Bill St. Louis, the former head of FINRA’s National Cause and Financial Crimes Detection Program and FINRA's new Executive Vice President and Head of Enforcement, to learn more about the man at the helm and what's on the horizon for Enforcement in the new year.Resources mentioned in this episode:2024 FINRA Annual Regulatory Oversight ReportFINRA Enforcement HomepageFINRA Names Bill St. Louis as New Head of EnforcementFINRA Fines BofA Securities $24 Million for Treasuries SpoofingFINRA Expels Monmouth Capital ManagementQualification Exams Find us:  LinkedIn / X / YouTube / Facebook / Instagram / E-mailSubscribe to our show on Apple Podcasts, Google Play and by RSS.

Episode metadata supplied by the publisher feed · Published Feb 6, 2024

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FINRA Enforcement works tirelessly on the front lines of investor protection, and this tremendous undertaking demands steadfast leadership. On this episode of FINRA Unscripted, we meet Bill St. Louis, FINRA's new Executive Vice President and Head of Enforcement, to learn more about what's on the horizon for Enforcement in the new year.

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From NCFC to Enforcement Head: Reintroducing Bill St. Louis

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This episode was published on February 6, 2024.

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