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Negotiated the successful resolution of a FINRA sweep investigation and enforcement action involving inverse and leveraged ETFs of several broker-dealers.

ClientBroker-dealer
Description
Represented a broker-dealer in a FINRA sweep investigation involving inverse and leveraged exchange-traded funds. After an extensive investigation, which involved complex data analytics, we negotiated a successful resolution to convince FINRA that no investors were impacted.
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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.

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Atlanta, GA
Washington, DC
© 2017 Sutherland Asbill & Brennan LLP / Sutherland (Europe) LLP
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Experience - Negotiated the successful resolution of a FINRA sweep investigation and enforcement action involving inverse and leveraged ETFs of several broker-dealers.
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