• 2016 FINRA Analysis: A Record-Breaking Year for Fines
  • July 25, 2017 | Authors: Brian L. Rubin; Adam C. Pollet
  • Law Firm: Eversheds Sutherland (US) LLP - Washington Office
  • Journal of Investment Compliance

    Full article

    In 2016, the Financial Industry Regulatory Authority (FINRA) fined firms and individuals $176 million, shattering the previous record set in 2014. Combined with nearly $28 million in restitution, the total sanctions ordered by FINRA in 2016 were an all-time high.

    In their article for the Journal of Investment Compliance, Eversheds Sutherland attorneys Brian Rubin and Adam Pollet analyze FINRA’s 2016 sanctions and cases, including the issues that resulted in the most significant fines and emerging enforcement trends, and then make predictions about key issues for FINRA for 2017 and beyond.