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Sutherland Study Finds Benefits for Brokers, Firms to Litigate Against SEC and FINRA
A new study by Sutherland Asbill & Brennan analyzing litigated disciplinary proceedings brought by the SEC and FINRA against broker-dealer firms and registered representatives shows that it often pays for defendants to litigate, rather than settle. The authors of the study, Brian L. Rubin and Christian J. Cannon, analyzed cases from October 2007 through September [...]