FINRA’s 'Yuuuge' Fines May Propel 2016 To Historic Year

Law360, New York (October 14, 2016, 1:52 PM EDT) -- Brian Rubin

Adam Pollet While the presidential candidates fiercely campaign all over the country in an effort to win this year’s historic election and claim the White House, another historic event is looming in 2016 (although possibly less momentous): the Financial Industry Regulatory Authority is on pace to trump (so to speak) 2014’s record-setting campaign of fines.

Sutherland recently conducted its semi-annual review of FINRA’s disciplinary actions. As one presidential candidate might say, FINRA’s fines during the first six months of 2016 were “yuuuge”! And, it’s...
To view the full article, register now.