February 2013 Select Broker-Dealer, Investment Adviser, and Investment Company Enforcement Cases and Developments: 2012 Year in Review
02/01/12 Select SEC and FINRA Broker-Dealer Cases and Developments: 2011 Year in Review
In 2011, the SEC and FINRA continued their vigorous enforcement of the securities laws, resulting in an increase in enforcement cases brought against broker-dealers, with a 60% increase in such SEC enforcement actions and a 13.5% increase in FINRA disciplinary actions since 2010.
January 2012 2011 Year in Review: SEC and FINRA Selected Enforcement Cases and Developments Regarding Broker-DealersView all publications
04/05/13 Morgan Lewis Advises MetLife on Sale of Tower Square Securities and Walnut Securities to CeteraView all news
Morgan Lewis served as legal adviser to MetLife on its sale of independent broker-dealer affiliates to Cetera.