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FINRA Disciplinary Actions: Update and Analysis

October 2, 2012

Atlanta Compliance Roundtable

On October 2, 2012, Sutherland Partner Brian L. Rubin is participating in the ACA Compliance Group’s Atlanta Compliance Roundtable. Presenting, "FINRA Disciplinary Actions: Update and Analysis," Brian draws on his recently published FINRA Sanctions Survey to paint a picture of top issues in the compliance industry.

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click to watch Videocast: DOL Fiduciary Rule Litigation Impacts
Videocast: DOL Fiduciary Rule Litigation Impacts
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