FINRA’s Heightened Sanction Guidelines: What To Expect in 2019 LIVE Webcast

Top Quote The Knowledge Group Live Webcast Series announced today that it has scheduled a live webcast entitled: FINRA’s Heightened Sanction Guidelines: What To Expect in 2019 LIVE Webcast. This event is scheduled on January 16, 2019 from 3:00 PM to 5:00 PM (ET). End Quote
  • (1888PressRelease) January 11, 2019 - Event Synopsis:
    In May 2018, the Financial Industry Regulatory Authority (FINRA) released its amendments to the Sanction Guidelines that revamped the assessment of sanctions in disciplinary proceedings. Under these revisions, customer arbitration history should be taken into consideration by adjudicators when determining the severity of disciplinary sanction to be imposed. The revisions cover disciplinary complaints filed beginning June 1, 2018.

    In this LIVE Webcast, a panel of distinguished professionals and thought leaders organized by The Knowledge Group will provide an in-depth discussion of latest updates and developments in FINRA’s Sanction Guidelines. Speakers will dig deeper as they analyze its implications and provide best practices to prevent risks and pitfalls.

    Key topics include:
    • FINRA’s Sanction Guidelines: An Overview
    • Recent Trends and Developments in FINRA’s Sanction Guidelines
    • Common Pitfalls and Risk Issues
    • Risk Mitigation Techniques and Best Practices
    • What Lies Ahead

    Speakers/Faculty Panel
    Peter J. Tepley
    Rumberger Kirk & Caldwell

    Jeffrey Holik
    Renaissance Regulatory Services

    Meredith Abrams
    Duff & Phelps, LLC

    Rogge Dunn
    Rogge Dunn Group, PC

    For an updated list of the faculty panel, please visit:

    About The Knowledge Group, LLC/The Knowledge Congress Live Webcast Series
    The Knowledge Group was established with the mission to produce unbiased, objective, and educational live webinars that examine industry trends and regulatory changes from a variety of different perspectives. The goal is to deliver a unique multilevel analysis of an important issue affecting business in a highly focused format. To contact or register for an event, please visit:

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