Displaying 4 results
Finra fines jump 43% in 2020 to $57 million
The number of of the regulator's disciplinary actions held steady, according to an Eversheds Sutherland analysis.
State regulators propose restitution assistance for harmed investors
NASAA based its model rule on measures in place in Indiana, Montana, Vermont, Kansas and Maine
Supreme Court limits SEC’s ability to mete out ‘financial ruin’ via disgorgement
The ruling upholds the agency's right to claw back ill-gotten gains as long as they’re from net profits of fraudulent schemes
Study shows softening of Finra enforcement last year
Law firm Eversheds Sutherland says fines, restitution, cases decreased; Finra touts the quality of its cases
