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Sutherland Partner Brian Rubin was quoted in a recent article in American Banker magazine discussing trends in FINRA enforcement actions for violations of advertising guidelines.
Since 2010, FINRA has amplified regulation and enforcement of advertising materials, as illustrated by the annual survey of FINRA enforcement actions conducted by Brian and Sutherland’s Financial Services team. The article relies heavily on the survey’s findings.
To read the full article, click here.