{"id":1410,"date":"2014-03-05T17:29:20","date_gmt":"2014-03-05T17:29:20","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/2014\/03\/fines_for_finra_sanctions_went"},"modified":"2022-03-11T08:59:54","modified_gmt":"2022-03-11T14:59:54","slug":"fines-for-finra-sanctions-went","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/fines-for-finra-sanctions-went\/","title":{"rendered":"Fines for FINRA Sanctions Went Down 27%, Reports New Analysis"},"content":{"rendered":"

\t\t\t\tAccording to a review of Financial Industry Regulatory Authority actions in 2013, fines imposed by the self-regulatory organization dropped by 27% compared to the year before, even though the number of cases during both were almost identical. Sutherland Asbill & Brennan LLP, which completed the review, said that last year FINRA imposed $57 million of fines, compared to $77 million in 2012. <\/p>\n

The fine total from 2013 was the lowest imposed since 2010, when the regulator fined member firms and associated individuals $45 million. Also, even though the fines went down, there was 1% less disciplinary actions brought by FINRA at 1,535 actions, compared to the 1,541 submitted made in 2012. Another decline occurred in the number of firms that FINRA expelled-24 in 2013 and 30 in 2012. That said, the SRO did suspend more individuals-670 last year, up from 549 the year before-and bar more persons from 294 in to 429 last year, which is a 46% increase. <\/p>\n

Sutherland’s believes the fines went down because many of the cases generated by the financial crisis have been tackled. This means that even with so many cases, these aren’t necessarily resulting in fees that are as high.<\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

According to a review of Financial Industry Regulatory Authority actions in 2013, fines imposed by the self-regulatory organization dropped by 27% compared to the year before, even though the number of cases during both were almost identical. Sutherland Asbill & Brennan LLP, which completed the review, said that last year FINRA imposed $57 million of […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3739],"tags":[],"class_list":["post-1410","post","type-post","status-publish","format-standard","hentry","category-finra"],"yoast_head":"\nFines for FINRA Sanctions Went Down 27%, Reports New Analysis — Investor Lawyers Blog — March 5, 2014<\/title>\n<meta name=\"description\" content=\"According to a review of Financial Industry Regulatory Authority actions in 2013, fines imposed by the self-regulatory organization dropped by 27% — March 5, 2014\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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