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Brokers With a Significant History of Misconduct

SKU: SEC012
Total Credits
1 - 1.2
Price$50
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Description

This CLE program will discuss the new rules concerning brokers with significant history of misconduct. Panelists review the implications of retaining or hiring brokers with such a history.

After attending this session, you will be able to:

  • Understand changes to rule 9200 and 9556
  • Discuss heightened supervisory procedures for statutory disqualified associated persons
  • Review written request requirement process through the Membership Application Group (MAP)

Lecturer Bios

Patricia Dorilio, Esq.

Patricia Dorilio became Senior Director in the Membership Application Program (MAP) group in November 2021 as lead of the Capital Markets firm group where, as a member of the MAP leadership team, she is responsible for the management and assessment of membership applications, as well as leading and implementing the strategic direction of the MAP program for the Capital Markets firm groupings.

Prior to becoming a Senior Director, Ms. Dorilio was an Associate Director in the MAP group where she oversaw a team of managers and examiners in the execution of the application review program, including expedited reviews where applicable, to determine applicants’ satisfaction of standards for FINRA membership, and standards for firms’ continuation of membership. That included the review and analysis of information and documentation relating to proposed business activities and securities products, and firms’ structural and ownership changes.

She has also completed the FINRA Excellence in Management Program at Wharton. Prior to joining MAP in 2011 as a MAP examiner, Ms. Dorilio was employed in the private sector, and immediately prior to that, held the position of Senior Special Counsel at the New York Stock Exchange. She began her career as an Assistant Attorney General in the New York State Attorney General’s Office. Ms. Dorilio earned her Juris Doctor from the Maurice A. Dean School of Law at Hofstra University, and a B.A. in Political Science from Hofstra University. She is a member of the bar of the State of New York.

Jennifer Crawford, Esq.

Jen Crawford is Vice President of Litigation in the Enforcement Department, responsible for overseeing Enforcement’s nationwide litigation and appellate programs. Prior to assuming this role, she was a Hearing Officer in FINRA’s Office of Hearing Officers. Ms. Crawford joined FINRA in 2012 and was a Director in Enforcement until 2018.

Prior to joining FINRA, she was a Senior Counsel in the Division of Enforcement at the U.S. Securities and Exchange Commission where she investigated and litigated enforcement matters in federal court and in administrative proceedings. Ms. Crawford holds a B.S. in Finance from Seton Hall University and J.D. from Catholic University.

Eric Hebert

Eric Hebert is Investigative Director with FINRA’s High Risk Registered Representatives specialist team and has been with FINRA since December 2003. In his role, Mr. Hebert manages specialized staff performing assessments and examinations of registered persons deemed to present heighted risk to investors and the markets. Mr. Hebert started his career in Member Supervision as an Examiner with NASD.

Prior to joining NASD/FINRA, Mr. Hebert was a Supervisory Principal for MetLife and New England Securities, and responsible for approving securities investment applications and transactions for an OSJ branch office. Mr. Hebert has a Bachelor of Arts degree from Curry College and is a Certified Fraud Examiner.



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