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Achieved a reduction in penalties against a broker-dealer, its chief compliance officer and another principal in one of the first cases involving FINRA's variable annuity suitability rule.

ClientBroker-dealer
Description
Convinced FINRA to significantly reduce the assessed penalties against a financial services firm and two of its principals in one of the first cases involving FINRA's variable annuity suitability rule. We also successfully negotiated a very rare settlement whereby the chief compliance officer was fined but was not suspended or ordered to re-take the FINRA registered principal examination.
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Atlanta, GA
Washington, DC
© 2017 Sutherland Asbill & Brennan LLP / Sutherland (Europe) LLP
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Experience - Achieved a reduction in penalties against a broker-dealer, its chief compliance officer and another principal in one of the first cases involving FINRA's variable annuity suitability rule.
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