Tag Archives : FINRA market regulation


1Q14 FINRA Disciplinary Actions: Law Firm Representation Stats

Dynamic Securities Analytics, Inc. (DSA) analyzed 1Q14 FINRA Disciplinary Actions Letters of Acceptance, Waiver & Consent (AWC) to determine legal representation trends. There were 164 AWCs during the first quarter of 2014. DSA broke down the analysis between disciplinary actions that named a firm versus those that named an individual. Broker/Dealers 67 AWCs named a Broker/Dealer more »