Partner Barry Temkin was recently quoted in an article in Investment News about FINRA’s plan to compile a list of high-risk advisers for additional regulatory scrutiny.

“I would be deeply concerned by the existence of some kind of list of troubled brokers which could harm the reputation and careers of any advisers listed on it, without the benefit of an opportunity to defend themselves or seek counsel,” Barry Temkin, a partner at Mound Cotton Wollan & Greengrass, wrote in an email. “The inclusion of an individual broker on such a list could have severe and far-reaching career implications should it be leaked to a broker’s customers, compliance department or claimants’ bar.”

You can read the article here.

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