Annual Sutherland Analysis of FINRA Sanctions Shows 27% Decrease in Fines; Number of Cases Nearly Identical

Sutherland Asbill & Brennan LLP has completed its review of the disciplinary actions reported by the Financial Industry Regulatory Authority (FINRA) in 2013. By reviewing FINRA’s monthly disciplinary notices, Sutherland Partner Brian Rubin and Associate Andrew McCormick found that in 2013 FINRA’s fines dropped significantly but FINRA brought nearly the same number of disciplinary actions as it did in 2012. Sutherland also identified the top enforcement issues for FINRA in 2013, as well as emerging trends. More on MarketWatch here.