Featured Jobs
|
July Business Services
|
|
Retirement Combo Plan Administrator Heritage Pension Advisors, Inc.
|
|
Distributions Processor - Qualified Retirement Plans Anchor 3(16) Fiduciary Solutions, LLC
|
|
Retirement Plan Termination Specialist Compass
|
|
EPIC RPS
|
|
DWC ERISA Consultants LLC
|
|
Defined Benefit Specialist II or III Nova 401(k) Associates
|
|
Merkley Retirement Consultants
|
|
The Pension Source
|
|
Nova 401(k) Associates
|
Free Newsletters
“BenefitsLink continues to be the most valuable resource we have at the firm.”
-- An attorney subscriber
|
|
|
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 >> |
| Please click here to report this link if it is broken (for example, if you see a "404 File Not Found" error message after you click on the linked news item's title). |
| An important word about authorship: BenefitsLink® created this link to the news item, but we are not the news item's author (unless expressly shown above). |