Report: FINRA fines, cases dropped in 2013

02/24/2014 | Financial Advisor online · ThinkAdvisor

Corporate fines by the Financial Industry Regulatory Authority decreased from $78 million in 2012 to $57 million in 2013, according to an analysis by law firm Sutherland Asbill & Brennan. The number of cases opened by FINRA declined from 1,541 to 1,535, according to the analysis.

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Financial Advisor online · ThinkAdvisor

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