Shaken, Stirred and Sanctioned: SEC, FINRA and 007 Enforcement Actions

If you think about it (through, say, X-ray sunglasses), James Bond movies are like securities enforcement actions: good guys, bad guys, government agencies, self-regulators (of sorts), rules, compliance officers (sometimes referred to as Dr. No), technology, money, and opening credits music. (Well, maybe not the latter.)

In this month’s enforcement update in NSCP Currents, starring Bond, James Bond, 007, British secret service agent and the hero of multiple books and 25 movies, Brian Rubin and Bria Adams review SEC and FINRA enforcement actions brought in August and September.


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