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Carlton Fields

FINRA Issues 2025 Annual Regulatory Oversight Report

Carlton Fields on

On January 28, 2025, FINRA issued its 2025 Annual Regulatory Oversight Report, providing a detailed look into FINRA’s current regulatory oversight of member firms and their registered personnel....more

The Volkov Law Group

2021 False Claims Act Year in Review: Enforcement Statistics (Part I of II)

The Volkov Law Group on

Worth the Wait? DOJ finally released its Fraud Statistics for FY 2021 and announced the “second largest amount recorded” since 1986: FCPA Settlement and judgment exceed $5.6 billion...more

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