Case Studies of Financial Crimes and Penalties


In this course, you will read about a variety of financial crimes committed by registered representatives and broker-dealer firms, as well as the penalties suffered for those crimes. Some crimes will be in the form of case studies, while others will be relayed as reports. Some of the case studies involve matters that were appealed to the National Adjudicatory Council.

Additionally, there is a section involving financial crimes seen as a result of the pandemic, and what registered representatives should be aware of in their dealings with the public.

Learning Objectives

The purpose of this course is to provide you with a range of examples of financial crimes to raise awareness as to the variety and complexity of financial crimes existing in the world today.

Upon conclusion of this course, you should

  • have an understanding of the wide variety of financial crimes
  • be aware of the most current trends in financial schemes, including those surrounding the coronavirus
  • know what may happen as a result of participating in activities such as those shared in the case studies herein, and the types of sanctions imposed for the various crimes

Designed For

This course is designed for Registered Representatives 

Find this course for your license:

License or Certification