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 InvestmentNews.com. Sutherland concluded that, although “the odds are not in your favor” when regulators assert charges against broker-dealers and registered representatives, past results show it may be worthwhile to challenge the charges under certain circumstances.