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FINRA FOCUS: 2012 Research Analyst & Research Report Cases

May 2013

Wall Street Lawyer

Sutherland’s annual analysis of FINRA’s disciplinary actions found that cases involving research analysts and research reports generated the third-highest amount of fines for the regulator in 2012. FINRA reported $12.4 million in fines from 13 research report and research analyst cases in 2012. Even though the number of cases reported declined slightly this past year, the amount of fines assessed in these cases increased by more than 700% compared to 2011. This substantial jump in fines caused this category to appear on Sutherland’s Top Enforcement Issues list for the first time in 2012. In the Wall Street Lawyer article, the authors delve into the regulator’s recent enforcement actions and highlight a few of the key 2012 research report and research analyst cases.

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