Indiana Jones and Raiders of the Lost Enforcement Actions: SEC and FINRA Enforcement from June 2021

From Brian Rubin and Sarah Sallis in this month’s column for NSCP Currents:

Forty years ago, in Raiders of the Lost Ark, the world was introduced to Indiana Jones, who hunted for the Lost Ark of the Covenant, while chasing and being chased by Nazis. While Raiders and the other Indy movies were not about investments (as that word is used in common parlance), the first movie did involve extremely valuable gold in its opening sequence, in the form of the fictitious Golden Idol. In addition to treasures, the Indiana Jones movies also concerned good v. bad, fighting, adventure, snakes, and some humor.  In other words, in many respects, they are similar to enforcement actions (other than the snakes) (although we do know some people who might be considered snakes).

Read more here.


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