Formal disciplinary action or informal action, settlement or complaint. Or, the one you never hear about: no action. There are a lot of possible outcomes for an Enforcement investigation. And a disciplinary action is far from guaranteed at the outset of the process. 

On this episode, Executive Vice President and Head of FINRA Enforcement Jessica Hopper walks us through the Enforcement process from referral to final outcome for all these possibilities and details the many steps along the way. 

Resources mentioned in this episode:

FINRA Enforcement

Monthly Disciplinary Actions

Disciplinary Actions Online Database

Enforcement Process Chart

Office of Hearing Officers

Guide to Disciplinary Hearing Process

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