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FINRA's Disciplinary Actions in 2012: Trends and Analysis

June 2013

The Investment Lawyer

Continuing a recent trend, the Financial Industry Regulatory Authority's (FINRA) enforcement activities rose in 2012. In 2012, FINRA brought slightly more disciplinary actions than it did in 2011, but assessed total fines representing a double-digit percentage increase over the previous year. This was the fourth consecutive year that number of cases filed increased and the second straight year that total fines grew. This article explores these FINRA enforcement statistics, emerging trends, and some of the key 2012 disciplinary cases.

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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
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