• 2017 year in review:🔍
• US regulators step up Reg BI enforcement sharply as individuals ...🔍
• 2023|finra|sanctions|study🔍
• News Releases & Statements🔍
• Top 5 SEC Enforcement Developments for July 2024🔍
• Reg BI Enforcement Intensifies🔍
• Summary of FINRA Regulatory Actions in 2021🔍
• Twinkle|Twinkle Little SAR🔍

2017 year in review: - select sec and finra developments ... - JD Supra

See SEC Enforcement Actions: FCPA Cases at https://www.sec.gov/spotlight/fcpa/fcpa-cases.shtml. 67. See “SEC Charges Former New York Pension ...

US regulators step up Reg BI enforcement sharply as individuals ...

While the recent FINRA and SEC actions cited Reg BI, they alleged patterns of behavior that predated the new rules and took actions based on ...

2023-finra-sanctions-study - Eversheds Sutherland

Pollet found that in 2023, both the number of disciplinary actions and orders of restitution again declined compared to the previous year. But ...

News Releases & Statements | FINRA.org

Regulator's First Enforcement Actions for Online Cheating WASHINGTON — FINRA announced today that it has barred Brandon Autiero of New Jersey and Harris ...

Top 5 SEC Enforcement Developments for July 2024

SolarWinds Corp. et al. District Judge Paul A. Engelmayer rejected the SEC's first ever attempt to bring a cyber enforcement action charge of ...

Reg BI Enforcement Intensifies: SEC Fines Western International ...

FINRA has matched the SEC's focus in this area in that it has brought over 40 enforcement actions since 2023 and has settled over 30 cases since ...

Summary of FINRA Regulatory Actions in 2021 - ACA Group

In 2021, the Financial Industry Regulatory Authority's (FINRA) Enforcement Division brought 126 enforcement actions and issued fines against firms totaling $99 ...

Twinkle-Twinkle Little SAR: SEC & FINRA Settle with Broker-Dealers ...

In a series of settlements announced this year, the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory ...

SEC and FINRA Enforcement - NABL

This panel will examine recent and notable SEC and FINRA Enforcement actions and provide an overview of the priorities of the SEC's Public ...

FINRA's Top Enforcement Issues of 2023 | PLANADVISER

The legal firm's analysis of FINRA's monthly disciplinary reports counted 15 Reg BI cases bringing in $6 million in fines last year. LPL ...

FINRA Archives - Broker-Dealer Regulation & Litigation Insights

The SEC uncovered the misconduct after commencing a September 2021 sweep – a risk-based initiative to investigate the use of off-channel and ...

FINRA Enforcement Authority Turns on Looming Appeals Court Fight

The case is Alpine Sec. Corp. v. Fin. Indus. Regul. Auth., Inc., D.C. Cir., No. 23-05129, oral argument scheduled 2 ...

Top 5 FINRA Enforcement Issues in 2023 Included Reg BI, Spoofing

Cases related to trade reporting held the second spot; FINRA reported 14 such cases last year, with a total of $20 million in fines. Anti ...

Disciplinary Actions - February 2024 - finra

For these violations, the SEC affirmed FINRA's ... Instead, they enrolled all new customers in fully paid securities lending at account opening.

Strategic Defense Approach to SEC or FINRA Enforcement Actions

To highlight the implication, the total of SEC enforcement penalties for 2023 was $4.95 billion, while FINRA imposed $85.5 million in fines. In ...

Defense of SEC and FINRA Enforcement Proceedings

Sadis' Securities Enforcement Defense practice focuses on government investigations, SEC Enforcement actions and FINRA enforcement actions.

CSG Law Alert: FINRA's February 2024 Monthly Disciplinary Actions ...

On top of these cases, FINRA brought a formal action against a firm last week (that undoubtedly will be featured in an upcoming edition of ...

Despite FINRA's Increased Fines in 2023, the Number of FINRA's ...

In 2023, FINRA generated the most fine revenue from “spoofing” cases, primarily from FINRA's enforcement action against Bank of America. The top ...

Enforcement and Litigation - SEC.gov

Summaries of enforcement actions filed by the SEC in federal district court against alleged securities law violators. Administrative Proceedings.

Securities Litigation & SEC Enforcement - Cozen O'Connor

Cozen O'Connor securities litigators Joe Dever, Calli Padilla, and Harper Seldin recently obtained a complete defense victory in a $2.4 million FINRA securities ...