The Financial Industry Regulatory Authority flexed its muscles in 2011, marking the third straight year of increases in the number of disciplinary actions it filed against U.S. securities firms, according to a new analysis by Sutherland Asbill & Brennan.
FINRA, which oversees about 4,435 brokerage firms, filed 1,488 disciplinary actions in 2011 — up from 1,310 cases in 2010 and 1,158 cases in 2009. The regulator also barred 329 individuals in 2011, compared to 288 the year before.
This content has been archived. It is available through our partners, LexisNexis® and Bloomberg Law.
To view this content, please continue to their sites.
Not a Lexis Subscriber?
Subscribe Now
Not a Bloomberg Law Subscriber?
Subscribe Now
LexisNexis® and Bloomberg Law are third party online distributors of the broad collection of current and archived versions of ALM's legal news publications. LexisNexis® and Bloomberg Law customers are able to access and use ALM's content, including content from the National Law Journal, The American Lawyer, Legaltech News, The New York Law Journal, and Corporate Counsel, as well as other sources of legal information.
For questions call 1-877-256-2472 or contact us at [email protected]
