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...

Stay ahead of the curve

In the legal profession, information is the key to success. You have to know what’s happening with clients, competitors, practice areas, and industries. Law360 provides the intelligence you need to remain an expert and beat the competition.


  • Access to case data within articles (numbers, filings, courts, nature of suit, and more.)
  • Access to attached documents such as briefs, petitions, complaints, decisions, motions, etc.
  • Create custom alerts for specific article and case topics and so much more!

TRY LAW360 FREE FOR SEVEN DAYS