Search Multimedia Search by date | 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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