In The Press June 01, 2022

Lessons From Recent FINRA Actions Against Funding Portals (Law360)

On May 4, the Financial Industry Regulatory Authority announced that it had fined two FINRA-registered funding portals a combined $1.75 million for failing to comply with securities laws and rules designed to protect crowdfunding investors. Goodwin Financial Industry partner Peter LaVigne and associate Christopher Grobbel explain more in this byline article. Read the Law360 article here.