Investment Bank's Dicey Emails Fetch $900K FINRA Fine

By Dani Kass (May 11, 2016, 2:28 PM EDT) -- Stephens Inc. will pay the Financial Industry Regulatory Authority $900,000 to settle claims that the investment banking and private equity firm sent out mass internal emails with nonpublic information, which employees could then misuse for unfair trading, the regulator said Wednesday....

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!


Hello! I'm Law360's automated support bot.

How can I help you today?

For example, you can type:
  • I forgot my password
  • I took a free trial but didn't get a verification email
  • How do I sign up for a newsletter?
Ask a question!