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FINRA Annual 2023: Enforcement trends and new perspectives

Gurbir Grewal
The SEC’s Gurbir Grewal took part in the discussion. Photo: Michael M. Santiago/Getty Images

Alex Viall

6 min read
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A wide-ranging conversation covered the latest trends in enforcement cases brought or being pursued by the SEC and FINRA.

This well attended and extremely insightful session was chaired by Lisa Colone, VP Enforcement at FINRA, and included Gurbir Grewal (GG), Director, Division of Enforcement, SEC, and Chris Kelly (CK), acting head of enforcement at FINRA and Senior VP.

LC: Starting with a hypothetical, if you leave your current job

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