Rubin, Brian; Pollet, Adam - In: Journal of Investment Compliance 18 (2017) 2, pp. 1-8
Purpose To analyze FINRA’s 2016 sanctions and cases, the issues that resulted in the most significant fines, emerging enforcement trends, and make predictions about key issues for FINRA for 2017 and beyond. Design/methodology/approach Discusses the sanctions and disciplinary actions in 2016...