Posts belonging to Category Disciplinary Actions

Regulatory Actions – Is It Better to Fight or Concede?


Sutherland Asbill & Brennan LLP recently completed a study of cases over a two-year period from October 2008 to September 2010 where the SEC or FINRA charged broker-dealers and individual representatives with violations, according to Sutherland concluded that, although “the odds are not in your favor” when regulators assert charges against broker-dealers and registered […]