The Securities and Exchange Commission’s Roundtable on Combating Retail Investor Fraud

Morgan Lewis partner Ignacio Sandoval participated in an event hosted by The Securities and Exchange Commission’s Division of Trading and Markets on combating retail investor fraud.  The Commission staff is interested in views from a broad range of market participants, regulators and industry experts concerning potential steps that might be taken to enhance the ability of regulators, broker-dealers and others to combat retail investor fraud. 

Ignacio Sandoval presented on the topic of “Enhancing the Ability of Broker-Dealers to Combat Retail Investor Fraud”.