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Videocast: FINRA’s 2016 Disciplinary Program:  “YUUUGE” Fines May Propel 2016 to Record-Setting Year

October 17, 2016
click to watch Videocast: FINRA’s 2016 Disciplinary Program:  “YUUUGE” Fines May Propel 2016 to Record-Setting Year;;;; 7502
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  • Video - Play | 4 min
  • Podcast | mp3 | 4 min
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FINRA’s disciplinary program had a very strong first half of 2016.  A dramatic increase in fines, propelled by several multimillion dollar fines, may lead FINRA to shatter its previous record.  In this Bottom Line videocast, Sutherland attorneys Brian L. Rubin and Adam C. Pollet discuss their study of FINRA’s disciplinary cases and what broker-dealers and associated persons may expect during the rest of the year.

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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
© 2017 Eversheds Sutherland (US) LLP
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