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Fines by Wall Street cop on pace to fall this year

July 30, 2010

Litigation Partner Brian L. Rubin comments on the FINRA Sanctions Study he and co-authors Deborah G. Heilizer and Shanyn L. Gillespie released. In the coming year, Rubin said Sutherland expects to see more advertising cases that seize on misleading internal communication, a departure from the usual focus on public marketing material. Also, he sees a closer examination of firms that do not follow up on e-mail retention glitches. "FINRA is digging a lot harder than it used to," he said.

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