Deborah Heilizer

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  FINRA 2012 Fines to ‘Significantly Outpace’ 2011: Sutherland

  By Melanie Waddell, AdvisorOne  |  August 10, 2012

  “If fines continue to be assessed at this rate, 2012 will represent a 15% increase from the total fines reported by FINRA in 2011,” said Brian Rubin of Sutherland Asbill & Brennan.

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  FINRA’s Top 5 Enforcement Issues of 2011

  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.

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  The Five Top FINRA Enforcement Actions in 2010

  By Kathleen McBride, AdvisorOne  |  February 28, 2011

  An analysis by the securities law firm Sutherland Asbill & Brennan, including Sutherland's Brian Rubin, says FINRA is taking a more ‘aggressive enforcement’ stance.

• FINRA sanctioned far less in 2008, law firm reports

  By Staff Writer  |  June 3, 2009

  It was a "slow year" for FINRA in 2008, according to one law firm's assessment. Sutherland Asbill & Brennan LLP released analysis Wednesday revealing FINRA -...