Huckleberry FINRA and Life on the MissiSECippi

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Huckleberry FINRA and Life on the MissiSECippi

Mark Twain FINRA SEC CFTC and NASAA Enforcement Actions (November and December 2021)

February 08, 2022

United States
United States
United States

Samuel Langhorne Clemens, d/b/a Mark Twain, was the author of many outstanding (and often humorous) books and short stories that had good guys (e.g., Huck, Jim and Tom), bad guys (e.g., Pap Finn; the Duke and the Dauphin, who were the equivalent of the 19th century boiler room fraudsters), self-regulators (e.g., Aunt Polly and the Widow Douglas), an actual Judge (well, fictional, but you know what we mean) (Judge Thatcher, father of Becky), and sanctions (the Duke and the Dauphin are tarred and feathered – a bit different from being censured or ordered to cease and desist). In other words, his stories sound a lot like some of the securities enforcement cases we regularly read.

In this article published by NSCP Currents, Eversheds Sutherland attorneys Brian Rubin and Amanda Oliveira use Mark Twain’s writings, like a lot of their other more modern pop culture sources, to provide key lessons for securities and compliance practitioners.

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Key contacts

brianrubin@eversheds-sutherland.com

Brian L. Rubin

Partner

Washington, DC, United States

amandaoliveira@eversheds-sutherland.com

Amanda C. Oliveira

Senior Associate

New York, United States

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