Evershed Sutherland’s annual analysis of FINRA’s disciplinary actions indicates that FINRA fined firms and individuals a record-setting $176 million in 2016.. In addition, it ordered $28 million in restitution in 2016.
But. . .
- How did 2016 compare to previous years, including 2015’s record-breaking year?
- What types of cases triggered orders of restitution from FINRA in 2016?
- What should firms expect in 2017?
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