Photo of Sam Hatcher

Sam is an associate in the firm’s Business Litigation practice. He completed his Juris Doctor cum laude from University of Georgia School of Law, where he served as Senior Articles Editor for the Georgia Journal of International and Comparative Law. Sam also competed in the Philip C. Jessup International Law Moot Court Competition and was a member of the E. Wycliffe Orr Inn of Court.

On March 17, the Financial Industry Regulatory Authority (FINRA) issued a notice, clarifying when chief compliance officers (CCOs) will face liability as supervisors under FINRA Rule 3110.[1] Under Rule 3110, member firms are required to designate individual supervisors and identify their responsibilities as a part of implementing an overall system to “achieve compliance with