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Mid-Year Review: FINRA's Sanctions in 2012 on Pace to Far Surpass 2011's Totals
Eversheds Sutherland 
Aug. 10, 2012 "Financial Industry Regulatory Authority (FINRA) fines and disciplinary actions for 2012 are on track to significantly outpace those for 2011 ... [D]uring the first half of 2012, FINRA ordered broker-dealers and associated persons to pay $39.4 million in fines. 'If fines continue to be assessed at this rate, 2012 will represent a 15% increase from the total fines reported by FINRA in 2011,' said [the author]. 'Essentially, we are looking at a jump from $68 million in 2011 to projected fines of $78.4 million in 2012.'" MORE >> |
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