{"id":1238,"date":"2022-03-08T16:29:55","date_gmt":"2022-03-08T16:29:55","guid":{"rendered":"http:\/\/localhost\/?p=1238"},"modified":"2022-03-08T16:29:55","modified_gmt":"2022-03-08T16:29:55","slug":"analysis-of-finra-disciplinary-actions-shows-huge-surge-in-financial-sanctions","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2022\/03\/08\/analysis-of-finra-disciplinary-actions-shows-huge-surge-in-financial-sanctions\/","title":{"rendered":"Analysis of FINRA Disciplinary Actions Shows Huge Surge in Financial Sanctions"},"content":{"rendered":"<p>By reviewing FINRA\u2019s monthly disciplinary reports, press releases and online database, Eversheds Sutherland (US) Partners\u00a0<strong><a href=\"https:\/\/us.eversheds-sutherland.com\/People\/Brian-L-Rubin\">Brian L. Rubin<\/a><\/strong>\u00a0and\u00a0<strong><a href=\"https:\/\/us.eversheds-sutherland.com\/People\/Adam-C-Pollet\">Adam C. Pollet<\/a><\/strong>\u00a0identified the following key takeaways:<\/p>\n<ul>\n<li>In 2021, fines and restitution spiked despite a decrease in the number of cases compared with 2020<\/li>\n<li>FINRA continues to target specific areas, such as anti-money laundering violations, which for the sixth year in a row resulted in the largest amount of fines.<\/li>\n<li>Regulators appear to be gearing up for actions involving RegBI\/Form CRS<\/li>\n<\/ul>\n<p><a href=\"https:\/\/us.eversheds-sutherland.com\/NewsCommentary\/Press-Releases\/249220\/Annual-Eversheds-Sutherland-Analysis-of-FINRA-Disciplinary-Actions-Shows-Huge-Surge-in-Financial-Sanctions?utm_source=vuture&amp;utm_medium=email&amp;utm_campaign=vuture-emails\">Read the full study here<\/a>.<\/p>\n","protected":false},"excerpt":{"rendered":"<p>By reviewing FINRA\u2019s monthly disciplinary reports, press releases and online database, Eversheds Sutherland (US) Partners\u00a0Brian L. Rubin\u00a0and\u00a0Adam C. Pollet\u00a0identified the following key takeaways: In 2021, fines and restitution spiked despite a decrease in the number of cases compared with 2020 FINRA continues to target specific areas, such as anti-money laundering violations, which for the sixth &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2022\/03\/08\/analysis-of-finra-disciplinary-actions-shows-huge-surge-in-financial-sanctions\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">Analysis of FINRA Disciplinary Actions Shows Huge Surge in Financial Sanctions<\/span> <span class=\"meta-nav\">&rarr;<\/span><\/a><\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_exactmetrics_skip_tracking":false,"_exactmetrics_sitenote_active":false,"_exactmetrics_sitenote_note":"","_exactmetrics_sitenote_category":0,"footnotes":""},"categories":[23,24,22],"tags":[],"class_list":["post-1238","post","type-post","status-publish","format-standard","hentry","category-compliance","category-enforcement","category-standard-of-care"],"aioseo_notices":[],"post_mailing_queue_ids":[],"_links":{"self":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1238","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/comments?post=1238"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1238\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=1238"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=1238"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=1238"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}