WebAt Eversheds, Sheridan-Cona will represent investment advisers and broker-dealers facing Securities and Exchange Commission, FINRA, state and federal probes. She will also defend clients in ... WebMar 12, 2024 · For the fourth straight year, issues tied to anti-money laundering accounted for the largest amount of fines from FINRA in 2024, according to the annual Eversheds Sutherland study of the disciplinary actions reported by the SRO last year. FINRA brought a dozen AML cases in 2024, which resulted in $17.4 million in fines by the regulator.
Finra Enforcement Fines And Restitution Surged In 2024
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Finra fines, restitution and enforcement actions all declined last year
WebMar 16, 2024 · FINRA assessed ten fines of $1 million or more, totaling $38.6 million, up from $28 million in 2024. Similarly, in 2024, FINRA assessed two fines of $5 million or more totaling $21.5 million ... WebMar 8, 2024 · Eversheds Sutherland's review of public reports found that Finra's monetary sanctions totaled $72 million last year, down from $150 million in 2024. March 8, 2024 By … WebEversheds Sutherland Annual Analysis of FINRA Disciplinary Actions. While the amount of FINRA fines, restitution and cases increased in 2024 compared with 2024, FINRA continues to target specific areas such as … citizen relationship management crm