In February, the Financial Industry Regulatory Authority released the 2022 Report on FINRA’s Examinations and Risk Monitoring Program, providing guidance to the broker-dealer industry.

Read on for a discussion of key topics addressed in this year’s report.

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Photo of Elizabeth J. Hogan Elizabeth J. Hogan

Elizabeth Hogan (“Lizzie”) is the co-chair of the Securities Enforcement and Litigation team in the firm’s nationally ranked Government Investigations and White Collar Litigation department and a member of the Broker-Dealer practice for the Financial Institutions Industry team. As the former senior vice…

Elizabeth Hogan (“Lizzie”) is the co-chair of the Securities Enforcement and Litigation team in the firm’s nationally ranked Government Investigations and White Collar Litigation department and a member of the Broker-Dealer practice for the Financial Institutions Industry team. As the former senior vice president and leader of Market Regulation Enforcement at the Financial Industry Regulatory Authority (FINRA), Lizzie has unique insight into the priorities and procedures of financial services regulators, including the SEC, FINRA, the exchanges, and state securities regulators and attorneys general. Lizzie represents clients in complex securities matters, focusing on investigations, regulatory enforcement proceedings, and litigation.

Photo of John Ayanian John Ayanian

John is a partner in the firm’s Government Investigations and White Collar Litigation and Securities Enforcement & Litigation teams, where he anchors the broker-dealer regulatory counseling practice, advising clients on broker-dealer and securities markets regulation.

Photo of Brian Baltz Brian Baltz

Brian is a partner in the firm’s Government Investigations and White Collar Litigation Department and member of the Securities Enforcement & Litigation team. Brian counsels financial institution clients with a focus on issues that cut across their broker-dealer, investment adviser, and bank fiduciary…

Brian is a partner in the firm’s Government Investigations and White Collar Litigation Department and member of the Securities Enforcement & Litigation team. Brian counsels financial institution clients with a focus on issues that cut across their broker-dealer, investment adviser, and bank fiduciary business models.

Photo of Emily P. Gordy Emily P. Gordy

Emily advises her clients as they navigate the complexities inherent in the securities regulatory environment. Drawing on her wealth of experience as a regulator, she handles a wide range of compliance and enforcement issues affecting broker-dealers, investment advisers, investment companies, and municipal securities…

Emily advises her clients as they navigate the complexities inherent in the securities regulatory environment. Drawing on her wealth of experience as a regulator, she handles a wide range of compliance and enforcement issues affecting broker-dealers, investment advisers, investment companies, and municipal securities dealers.

Photo of Clare E. Reardon Clare E. Reardon

Clare represents companies and individuals in a variety of investigations and enforcement actions by government entities including the Department of Justice, Securities Exchange Commission, and Financial Industry Regulatory Authority.

Photo of Chelsey Dawson Klein Chelsey Dawson Klein

Chelsey concentrates her practice on representing financial institutions and other corporate clients, with a specific focus on representing broker-dealers. She also focuses on investigations and complex commercial litigation.

Photo of Bryce P. Saunders Bryce P. Saunders

Bryce is an associate in the firm’s Commercial Litigation department. Bryce received his law degree from Case Western Reserve University School of Law, magna cum laude, order of the coif, where he served as a senior editor for the Case Western Reserve Law Review.