2018 Finra Fines Increase, Cases Down
March 5, 2019 by N/A
Eversheds Sutherland has completed its annual study of the disciplinary actions reported by the Financial Industry Regulatory Authority (FINRA) in 2018.
By reviewing FINRA’s monthly disciplinary reports, press releases, and online database, Eversheds Sutherland partner Brian L. Rubin and counsel Adam C. Pollet found that in 2018 the amount of fines increased compared with 2017, although the number of cases and amount of restitution were down.
In addition, anti-money laundering cases continued to lead to the largest amount of fines.
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