FINRA Expected to Bring Record Breaking Enforcement Cases in 2012

The Financial Industry Regulatory Authority (FINRA) is on pace to bring a record breaking number of enforcement cases this year compared to 2011.  Last year, FINRA brought approximately 1,500 cases in which 33% of large firms were faced with an enforcement action while less than 5% of smaller firms faced an action.  According to AdvisorOne, Sutherland Asbill & Brennan’s annual FINRA Sanctions Survey, released in … Read more