Recent Posts

What Steps Can Lead to a Reduction in a FCPA Fine?
Posted on 27 Aug 2010 by Thomas Fox

Earlier this month, in the FCPA Blog , Bruce Hinchey discussed his upcoming publication, " Punishing the Penitent: Disproportionate Fines in Recent FCPA Enforcements and Suggested Improvements " which analyzes differences between bribes... Read More

FINRA Cannot Sue to Collect Fines
Posted on 6 Oct 2011 by Thomas O. Gorman

FINRA has no authority to bring an action in federal court to collect fines it imposes on members according to the Second Circuit Court of Appeals. Likewise, a rule the SRO issued over two decades ago under which it claimed such authority is invalid... Read More

Tags: fines , FINRA