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FINRA Sanctions Fines Reported Y/Y % change Disciplinary Actions Y/Y % change 2008 $28 million — 903 —…
FINRA Sanctions
| Fines Reported | Y/Y % change | Disciplinary Actions | Y/Y % change | |
|---|---|---|---|---|
| 2008 | $28 million | — | 903 | — |
| 2009 | $50 million | 79 | 1,040 | 15 |
| 2010 | $42 million | -16 | 1,147 | 10 |
| 2011 | $72 million | 71 | 1,249 | 9 |
| 2012 | $69 million | -4 | 1,281 | 3 |
| 2013 | $60 million | -13 | 1,283 | 0.2 |
| 2014 | $134 million | 123 | 1,212 | -6 |
| 2015 | $94 million | -30 | 1,344 | 11 |
| 2016 | $176 million | 87 | 1,201 | -11 |
| 2017 | $73 million | -58 | 1,008 | -16 |
Source: Eversheds Sutherland Annual FINRA Sanctions Study
FINRA Restitution
| Restitution Reported | Y/Y % Change | |
|---|---|---|
| 2008 | $6 million | — |
| 2009 | $8 million | 33 |
| 2010 | $6 million | -25 |
| 2011 | $19 million | 217 |
| 2012 | $34 million | 79 |
| 2013 | $10 million | -71 |
| 2014 | $32 million | 220 |
| 2015 | $96 million | 200 |
| 2016 | $28 million | -71 |
| 2017 | $66 million | 136 |
Source: Eversheds Sutherland Annual FINRA Sanctions Study
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