ing enforcement actions against individual brokers, there is a lot to consider, especially when the sanctions can be life altering for the individual in question.

On this episode, we hear from Deputy Head of Enforcement Chris Kelly about what makes cases against individual brokers different from those brought against firms and all the considerations involved.

Resources mentioned on this episode:
FINRA Enforcement

Disciplinary Actions Online Database

Episode 69: Excessive Trading: When A Lot Becomes Too Much

Episode 77: Behind the Process: How an Enforcement Action Becomes an Enforcement Action

1d:T4f7,In honor of Elder Abuse Awareness Month, we're taking a look at FINRA's important senior investor protection efforts, including a look at FINRA Rules 2165 and 4512, the first uniform National Senior Investor Protection Standards. On this episode, we hear from Associate General Counsel Alicia Goldin and Vice President and Associate General Counsel Jim Wrona where those rules stand today, explore some of the real-world scenarios in their application and provide tips for some of the tricky conversations that financial professionals might face in connection to their application. Resources mentioned in this episode:Rule 2165: Financial Exploitation of Specified AdultsRule 4512: Customer Account InformationEpisode 105: Essential Senior Investor Protection ToolsReg Notice 22-31: Practices for Obtaining Trusted Contacts“Investors in the U.S.: The Changing Landscape,” FINRA Foundation (December 2022)Trusted Con

FINRA Enforcement: Bringing Cases Agains...