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?

View the analysis here

Additional contributor to this post:

Brian L. Rubin, brianrubin@eversheds-sutherland.com