More broker-dealers were prosecuted last year for disciplinary actions by FINRA, but the total amount of fines declined, according to a recent Sutherland Asbill & Brennan survey of sanctions against broker-dealers and their associates.
Overall, disciplinary actions grew by 13% in 2010, to 1,310 from 1,158, according to Sutherland's annual FINRA Sanction Study.
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