transcript   Transcript

Retail Investors: The New Enforcement Frontier?

Recorded on: May. 14, 2018
Running Time: 01:00:36

Full Transcript:

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Retail Investors: The New Enforcement Frontier? [01:00:36]
Leslie R. Caldwell, Jessica B. Hopper, Charu Chandrasekhar, Alixandra Smith, Jeff Ehrlich

Leslie R. Caldwell ~ Latham & Watkins LLP
Charu Chandrasekhar ~ Chief, Retail Strategy Task Force, Division of Enforcement, U.S. Securities and Exchange Commission
Jeff Ehrlich ~ Deputy Enforcement Director, Consumer Financial Protection Bureau (CFPB)
Jessica B. Hopper ~ Enforcement Deputy Chief, Senior Vice President, Regional Enforcement, FINRA
Alixandra Smith ~ Deputy Chief, Business and Securities Fraud Section, U.S. Attorney's Office, EDNY
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