FINRA Enforcement works tirelessly on the front lines of investor protection, whether looking into cases of fraud or ways that bad actors try to manipulate the markets. This tremendous undertaking demands steadfast leadership. 

On this episode, we meet Bill St. Louis, the former head of FINRA’s National Cause and Financial Crimes Detection Program and FINRA's new Executive Vice President and Head of Enforcement, to learn more about the man at the helm and what's on the horizon for Enforcement in the new year.

Resources mentioned in this episode:

2024 FINRA Annual Regulatory Oversight Report

FINRA Enforcement Homepage

FINRA Names Bill St. Louis as New Head of Enforcement

FINRA Fines BofA Securities $24 Million for Treasuries Spoofing

FINRA Expels Monmouth Capital Management

Qualification Exams

Find us:  LinkedIn / X / YouTube / Facebook / Instagram / E-mail

Subscribe to our show on Apple Podcasts, Google Play and by RSS.