FINRA’s 5 Biggest Fine Categories in 2013
Fines from one category of offenses shot up a whopping 132%, according to the law firm Sutherland Asbill & Brennan.
FINRA’s Top 5 Enforcement Issues of 2011
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.
The Five Top FINRA Enforcement Actions in 2010
An analysis by the securities law firm Sutherland Asbill & Brennan, including Sutherland's Brian Rubin, says FINRA is taking a more ‘aggressive enforcement’ stance.