{"id":5515,"date":"2013-09-04T00:00:00","date_gmt":"2013-09-04T05:00:00","guid":{"rendered":"https:\/\/institutionalinvestorsecuritiesblog.blawgcloud.com\/2013\/09\/finra_fines_expected_to_drop_4"},"modified":"2022-03-10T16:38:09","modified_gmt":"2022-03-10T22:38:09","slug":"finra-fines-expected-to-drop-4","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/finra-fines-expected-to-drop-4\/","title":{"rendered":"FINRA Fines Expected to Drop 41% in 2013"},"content":{"rendered":"\n<p>Even though the number of disciplinary actions from the Financial Industry Regulatory Authority has dropped just slightly this year, fines paid to the SRO are expected to be 41% lower from what was assessed in 2012. <\/p>\n<p>In its Disciplinary and Other FINRA Actions report for the first half of 2013, FINRA said there were $23 million of fines\u2014compare that to the same time period last year when the SRO fined brokerage firms and associated individuals $39 million. The total in fines it would assess for 2012 would reach $78 million. This year\u2019s total is estimated to reach $46 million.<\/p>\n<p>One reason for the decline might be that FINRA had already brought its biggest cases related to the market collapse. A decrease in supersize fines of those over $1 million has also occurred during the year\u2019s first six months. However, in July, the SRO reported fining a financial firm $7.5 million while another had to pay investor restitution of $1.5 million. Supersize fines were also imposed on other broker-dealers.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.investorlawyers.com\/blog\/finra-fines-expected-to-drop-4\/\"  title=\"Continue Reading FINRA Fines Expected to Drop 41% in 2013\" class=\"more-link\">Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Even though the number of disciplinary actions from the Financial Industry Regulatory Authority has dropped just slightly this year, fines paid to the SRO are expected to be 41% lower from what was assessed in 2012. In its Disciplinary and Other FINRA Actions report for the first half of 2013, FINRA said there were $23 [&hellip;]<\/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":[3953,3739,3776],"tags":[],"class_list":["post-5515","post","type-post","status-publish","format-standard","hentry","category-arbitration-rulings","category-finra","category-finra-settlements"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>FINRA Fines Expected to Drop 41% in 2013 &#8212; Investor Lawyers Blog &#8212; September 4, 2013<\/title>\n<meta name=\"description\" content=\"Even though the number of disciplinary actions from the Financial Industry Regulatory Authority has dropped just slightly this year, fines paid to the SRO &#8212; September 4, 2013\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.investorlawyers.com\/blog\/finra-fines-expected-to-drop-4\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"FINRA Fines Expected to Drop 41% in 2013 &#8212; 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