-
By Melanie Waddell, AdvisorOne |
March 14, 2013
Fines issued by FINRA last year totaled $78.2 million, a 15% jump from the $68 million levied in 2011, according to the law firm Sutherland Asbill & Brennan.
-
By Melanie Waddell, AdvisorOne |
March 16, 2012
The significant jump in fines issued by FINRA in 2011 provides a look into the top areas that the regulator will be focusing on in 2012, according to the law firm Sutherland Asbill & Brennan.
-
By Melanie Waddell, AdvisorOne |
March 12, 2012
A survey of FINRA sanctions by Sutherland Asbill focuses on the top enforcement issues in 2011, showing that fines jumped 51% over 2010, with more reps barred.