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Sutherland represents two affiliated broker-dealers over failing to keep customer required records.

ClientTwo affiliated broker-dealers
Description
Sutherland won a case for two affiliated broker-dealers who were deemed during the course of a routine FINRA district examination to be failing to keep required records for certain customers. We argued that there was no definitive clairty of the term "customer" under existing SEC and FINRA rules.
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Sutherland Asbill & Brennan LLP is an international law firm helping the Fortune 100, industry leaders, sector innovators and business entrepreneurs solve their biggest challenges and reach their business goals. Dedicated to unfaltering excellence in client service, we are known for our business savvy and industry intelligence, providing creative and custom solutions for each of our clients. Industry and business experience makes the difference for our clients.

click to watch Videocast: DOL Fiduciary Rule Litigation Impacts
Videocast: DOL Fiduciary Rule Litigation Impacts
Atlanta, GA
Washington, DC
© 2017 Sutherland Asbill & Brennan LLP / Sutherland (Europe) LLP
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Experience - Sutherland represents two affiliated broker-dealers over failing to keep customer required records.
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