Posts belonging to Category Disciplinary Actions



Regulatory Actions – Is It Better to Fight or Concede?

Posted by Page PerryonMarch 29, 2011
 

Sutherland Asbill & Brennan LLP recently completed a study of cases over a two-year period from October 2008 to September 2010 where the SEC or FINRA charged broker-dealers and individual representatives with violations, according to InvestmentNews.com. Sutherland concluded that, although “the odds are not in your favor” when regulators assert charges against broker-dealers and registered […]

Categories: Brokerage Firms, Disciplinary Actions, Employment Issues, Investment Advisers, Regulatory Developments