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FINRA Fines Jump 60% in 2021 While Case Numbers Drop Slightly

Published: March 11, 2022

FINRA's total amount of fines jumped 60% in 2021, largely due to a huge fine against Robinhood, according to an analysis from partners at Eversheds Sutherland.

Source: wealthmanagement.com

Related Topics:

Brian RubinEversheds SutherlandAdam PolletExchange CommissionFinancial Industry Regulatory AuthorityAmerican Securities Administrators AssociationWall StreetDisciplinary Actions Online DatabaseRegulation Best Interest