FINRA’s Blockbuster 2014 Has Attys Wondering About Sequel
Law360, New York (February 20, 2015, 3:31 PM EST) -- By doubling its enforcement haul last year, the Financial Industry Regulatory Authority showed it’s not afraid of writing big tickets against the same Wall Street giants that fund its operations, but it’s an open question as to whether the $134 million or so in sanctions it collected in 2014 are a sign of bigger fines to come.
The brokerage industry’s self-regulatory organization tagged big names including Citigroup Inc., Morgan Stanley Smith Barney LLC and Bank of America's Merrill Lynch unit with multimillion-dollar penalties over claims that they broke industry rules ranging from investment banking conflicts of interest to sales practice issues...
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