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FINRA says broker fines jumped 53 percent

December 19, 2011
In a December 16, 2011 Reuters article, Sutherland Partner Brian L. Rubin comments on a spike in FINRA's broker fines for 2011. The article reviews year-end statistics showing a 53 percent increase over last year. Rubin states that it is not surprising that FINRA brought a number of big dollar cases, but questions whether or not they went after the right parties and the right 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
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Adam C. Pollet, Associate
Washington, DC
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