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Sutherland Annual Study Finds that it Sometimes Pays for Broker-Dealers and Registered Representatives to Litigate Against the SEC and FINRA (formerly NASD)

February 5, 2009

WASHINGTON (February 5, 2009)Sutherland Asbill & Brennan LLP has completed its annual analysis of litigated disciplinary proceedings brought by the U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA, formerly NASD) against broker-dealer firms and registered representatives. The study, authored by Partner Brian L. Rubin and Associate Christian J. Cannon, analyzes cases from October 2007 through September 2008 where firms and individuals were charged with violating SEC and NASD rules and statutes.

 

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