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Brokerage Firm Settlement

June 24, 2011
In an article published in the Legal Times, Sutherland Partner Peter J. Anderson was cited for his representation of Morgan Keegan & Company. In a recent settlement with the U.S. Securities and Exchange Commission, Financial Industry Regulatory Authority and five state securities commissions. The article covers the results of litigation that began more than a year ago, after securities violations were filed against the Memphis-based firm.
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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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