Tuesday, March 13, 2012
Sutherland Asbill & Brennan LLP has posted its annual FINRA Sanctions Survey, a review of the disciplinary actions reported by the Financial Industry Regulatory Authority (FINRA), on its website. The Survey reports that in 2011 FINRA reported a significant increase in the number of disciplinary actions filed and the total fines imposed. These increases followed a substantial increase in the number of cases reported in 2010. Sutherland also identified the top enforcement issues for FINRA in 2011, as well as emerging trends.