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Whenever firms and individuals are faced with SEC and FINRA investigations and enforcement actions, the question is raised about whether it is better to settle or litigate
Sutherland Asbill & Brennan LLP announced that it has completed its fourth annual analysis of litigated disciplinary proceedings brought by the Financial Industry Regulatory Authority (FINRA, formerly NASD) against broker-dealer firms and registered representatives
The United States District Court for the Southern District of Florida last week dismissed with prejudice a federal securities class action complaint against Merrill Lynch & Co., Inc., (“Merrill Lynch”) and other investment banks due to the plaintiffs’ failure to plead adequately any element of securities fraud
