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Every year, Sutherland performs an extensive analysis of FINRA’s disciplinary actions. Please join Sutherland partner Brian Rubin for an "Express Seminar" on this analysis, including an overview of the types of enforcement actions brought by FINRA in the past year and possible trends for future cases. This "Express Seminar" is limited to persons associated with broker-dealers and investment advisers.
To register for the call, click here.