Monitoring for Insider Trading and Understanding FINRA’s Regulatory Tip Process
During this free, 60-minute webinar, FINRA senior staff discuss handling fraud-related matters. From insider-trading inquiries to investigations of customer complaints and whistleblower tips, you’ll hear examples and cases from FINRA’s Office of Fraud Detection and Market Intelligence. Panelists address a range of topics, including:
Tony Cavallaro, Sr. Vice President, Central Review Group
Sam Draddy, Sr. Vice President, Office of Fraud Detection & Market Intelligence
Chip Jones, Sr. Vice President, Member Relations and Education (moderator)
Joe Ozag, Senior Director, Office of Whistleblower
Read speaker biographies (PDF 152 KB)
For registration or technical questions call (800) 321-6273.
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