Tag Archives: Sanction Guidelines

Sanction Guidelines Revised by FINRA

The Sanction Guidelines were revised by FINRA to instruct adjudicators in the disciplinary process to consider customer-initiated arbitrations that result in adverse arbitration awards or settlements when assessing sanctions.  Thus, when a respondent’s disciplinary history, and history of arbitration awards and arbitration settlements together with the violation found in a disciplinary case, form a pattern, … Continue reading Sanction Guidelines Revised by FINRA

FINRA Enforcement Sanctions Increased

FINRA, through the The National Adjudicatory Council (NAC), first published the Sanction Guidelines  in 1993. The goal of the Sanction Guidelines was twofold. First, it was intended to familiarize FINRA firms with some of the typical securities industry rule violations that occur, and the range of disciplinary sanctions that may result from those rule violations. … Continue reading FINRA Enforcement Sanctions Increased