Category Archives: Regulatory Fines

Anti Money LaunderingCompliance ManagementIT Risk ManagementRegulatory FinesTrade Monitoring
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Annual Eversheds Sutherland Analysis of FINRA Disciplinary Actions Shows Huge Surge in Financial Sanctions

All information Quoted from the article March 8, 2022 Eversheds Sutherland has completed its annual study of the disciplinary actions reported by the Financial Industry Regulatory Authority (FINRA) in 2021. By reviewing FINRA’s monthly disciplinary reports, press releases and online database, Eversheds Sutherland (US) Partners Brian L. Rubin and Adam C. Pollet found that in 2021 the amount of fines […]...
RegulatorsRegulatory Fines
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TIAA to Pay $97M for Pressuring Investors Into Rollovers

TIAA-CREF Individual & Institutional Services LLC, a subsidiary of Teachers Insurance and Annuity Association of America (TIAA), agreed Tuesday to pay the Securities and Exchange Commission $97 million in restitution to settle charges of inaccurate and misleading statements related to rollovers. TIAA was also charged with a failure to adequately disclose conflicts of interest to […]...