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1-3 of 3
Keywords: Restitution
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Journal Articles
FINRA’s disciplinary actions in 2018:Increased fines ordered with significant drop in number of cases
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2019) 20 (3): 1–5.
Published: 21 August 2019
...Brian Rubin; Adam Pollet Purpose To analyze FINRA’s 2018 disciplinary actions, the issues that resulted in the most significant fines and restitution, and the emerging enforcement trends from 2018 and beyond. Design/methodology/approach Discusses the disciplinary actions in 2018 and prior...
Journal Articles
FINRA’s disciplinary actions in 2017: increased restitution ordered with minimal changes in number of cases
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2018) 19 (2): 19–23.
Published: 19 July 2018
...Brian Rubin; Adam Pollet Purpose The purpose of this paper is to analyze the Financial Industry Regulatory Authority’s (FINRA) 2017 disciplinary actions, the issues that resulted in the most significant fines and restitution and the emerging enforcement trends from 2017 and beyond. Design...
Journal Articles
2016 FINRA analysis: a record-breaking year for fines
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2017) 18 (2): 1–8.
Published: 03 July 2017
... or more, sanctions against compliance officers, and suitability cases; and analyzes three enforcement topics that will likely continue to receive heightened attention from FINRA in 2017 and beyond: restitution, cybersecurity, and senior investors. Findings The fines ordered by FINRA in 2016 reached...
