Speaker, together with other attorneys including representatives from the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA) and the North American Securities Administrators Association (NASAA). Participated on the following Panels : 1. Offerings to Unaccredited Investors; 2. State Securities Law and NASAA Regulatory Priorities, Enforcement Initiatives and Experience in the States;

In the AWC entitled Charles V. Malico, Respondent, Matter No. 2021069405501 resolved at the end of last year, FINRA settled its first case involving a violation of Regulation Best Interest (Reg BI). The matter resembled a traditional suitability matter where Mr. Malico, without admitting or denying, accepted and consented to findings that he willfully violated

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https://www.eb5investors.com/ Thank you for EB5 Investors Magazine for again recognizing me as a top 5 litigator in the U.S. for 2021. I appreciate the honor.   

In assessing the range of a sanction that FINRA will impose on registered representatives and member firms in FINRA disciplinary actions, the key resource relied upon by enforcement attorneys and disciplinary hearing panelists is the Sanction Guidelines.  Here litigators and adjudicators find the range of sanction for particular violations, and then consider aggravating and mitigating