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FINRA Fines, Cases Both Increased In 2009, But Below 2005-2007 Levels

July 9, 2010
BNA

Discussing the FINRA Sanctions Study co-authored with Deborah G. Heilizer and Shanyn L. Gillespie that identified an increase in anti-money laundering (AML) cases brought by FINRA, Litigation Partner Brian L. Rubin said "the uptick is likely because of AML investigations launched one or more years ago are just now being announced. The cases are an increasingly significant FINRA examination focus."

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