It paid to fight charges brought by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority, particularly in cases involving fraud.

That's the conclusion of a study of cases brought by the SEC and FINRA over the course of 2009 and 2010 by Sutherland Asbill & Brennan, a global law firm with a practice in financial services.

Register or login for access to this item and much more

All Financial Planning content is archived after seven days.

Community members receive:
  • All recent and archived articles
  • Conference offers and updates
  • A full menu of enewsletter options
  • Web seminars, white papers, ebooks

Don't have an account? Register for Free Unlimited Access