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Press Release

Morgan Lewis Releases 10th Annual Report on SEC, FINRA Enforcement Developments and Cases

March 03, 2016

NEW YORK, March 3, 2016: Morgan Lewis today issued the 10th edition of its annual Year in Review, a comprehensive report on key US Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) enforcement developments and cases involving broker-dealers, investment advisers, investment companies, and their employees during 2015.

The report, developed by lawyers in Morgan Lewis’s Securities Enforcement and Litigation and Investment Management practices, highlights yet another record year for enforcement actions. In 2015, the SEC brought an unprecedented number of cases, while FINRA’s enforcement total tripled the amount of restitution to be paid to investors. To learn more, read the full 2015 Year in Review: Select SEC Cases and FINRA Developments and Enforcement Cases.