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Swinging for the Fences: An Analysis of Whether Broker-Dealers and Registered Representatives Should Litigate Against the SEC or FINRA

September 8, 2011
In the August 2011 issue of The Investment Lawyer, Sutherland Attorneys Brian L. Rubin and Jae C. Yoon take a closer look at recently litigated disciplinary proceedings brought by FINRA against broker-dealers, registered representatives and associated persons. The duo analyze whether it is in the respondent's best interest to take an aggressive approach and litigate. To review the article in full, click here.
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