Analysis of FINRA Cases Shows Record-Breaking 2016

Eversheds Sutherland (US) LLP has completed its annual study of the disciplinary actions reported by FINRA in 2016.  Key takeaways:

  • In 2016, the amount of fines ordered by FINRA shattered its previous record set in 2014
  • While the number of cases reported was on par with prior years, the amount of restitution declined significantly from 2015’s record total
  • Top enforcement issues and emerging trends for FINRA

View the results here

Additional contributor to this post:

Brian L. Rubinbrianrubin@eversheds-sutherland.com

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