FINRA’s 5 Key Enforcement Trends to Watch in 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.
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.
Citi Settles with N.Y.-Cuomo (Aug. 7, 2008)
New York Attorney General Andrew M. Cuomo has announced a multi-billion dollar agreement with Citigroup Global Markets, Inc. and Citi Smith Barney (collectively, "Citigroup") to settle allegations tha