Select a locationselect a location

Articles

Search Articles
Search by date
Choose From Date
Choose To Date
SearchClear

FINRA FOCUS: 2012 Research Analyst & Research Report Cases

May 2013

Wall Street Lawyer

Sutherland’s annual analysis of FINRA’s disciplinary actions found that cases involving research analysts and research reports generated the third-highest amount of fines for the regulator in 2012. FINRA reported $12.4 million in fines from 13 research report and research analyst cases in 2012. Even though the number of cases reported declined slightly this past year, the amount of fines assessed in these cases increased by more than 700% compared to 2011. This substantial jump in fines caused this category to appear on Sutherland’s Top Enforcement Issues list for the first time in 2012. In the Wall Street Lawyer article, the authors delve into the regulator’s recent enforcement actions and highlight a few of the key 2012 research report and research analyst cases.

View the full report.

Related People

Our Story

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
MYBRIEFCASE
Add this page to MYBRIEFCASE
Add Page to MYBRIEFCASE
News/Commentary - FINRA FOCUS: 2012 Research Analyst & Research Report Cases
Current MYBRIEFCASE Pages
Save ChangesDownload MYBRIEFCASEClear All