Search Press Releases
Search by date
WASHINGTON (May 13, 2008) – Sutherland Asbill & Brennan LLP announced that it has completed its fourth annual analysis of litigated disciplinary proceedings brought by the 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 January 2007 to December 2007 where the self-regulatory organization charged respondents with violating NASD and Securities and Exchange Commission (SEC) rules and statutes. The study also compares 2007 results with prior years.