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Linda Lucille Sokol Francis (CRD# 811073), a former investment adviser and broker based in Brookfield, Illinois, has been permanently barred from the securities industry by the Financial Industry Regulatory Authority (FINRA). This enforcement action followed her refusal to cooperate with a FINRA investigation into her use of discretion in customer accounts without written authorization. Learn more https://levinlaw.com/newsroom/adviser-alert-linda-lucille-sokol-francis/ | Levin Papantonio Law Fir
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3 comments | On the latest episode of #FINRAUnscripted, we hear from three senior leaders of FINRA's Market Regulation and Transparency Services (MRTS) team on how the team's new structure allows MRTS to be more nimble in addressing and anticipating risks, to better leverage its data and more. Listen here  https://bit.ly/3TILfnx | FINRA | Facebook
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