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Defended a broker-dealer and its chief compliance officer in a large FINRA investigation that was settled on favorable terms.

ClientBroker-dealer and chief compliance officer
DescriptionRepresented an independent broker-dealer and its chief compliance officer in one of the largest cases that FINRA brought in 2009. The firm was fined $1 million for supervisory failures that allegedly led to churning of customer accounts and excessive commissions. The chief compliance officer was fined and suspended. We were retained to settle the case after another law firm represented the broker-dealer, and the investigation was almost complete. We persuaded FINRA to drop several charges and to agree to settlement terms that were significantly lower than FINRA had initially proposed.

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Eversheds Sutherland is an international law firm helping the Fortune 100, industry leaders, sector innovators and business entrepreneurs solve their biggest challenges and reach their business goals. Dedicated to unfaltering excellence in client service, we are known for our business savvy and industry intelligence, providing creative and custom solutions for each of our clients. Industry and business experience makes the difference for our clients.

click to watch Videocast: FINRA’s 2016 Disciplinary Program:  “YUUUGE” Fines May Propel 2016 to Record-Setting Year
Videocast: FINRA’s 2016 Disciplinary Program:  “YUUUGE” Fines May Propel 2016 to Record-Setting Year
Washington, DC
Adam C. Pollet, Associate
Washington, DC
© 2017 Eversheds Sutherland (US) LLP
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Experience - Defended a broker-dealer and its chief compliance officer in a large FINRA investigation that was settled on favorable terms.
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