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    02.28.11 Professor James Fanto on Rise of FINRA Disciplinary Cases
    James Fanto

    From 2009 to 2010, disciplinary cases filed by FINRA have increased by 13%. Professor James Fanto spoke to The Wall Street Journal's Market Watch on dramatic jump. "Regulators felt the same pressure after the financial collapse to beef up their enforcement efforts," he said. "They've all been shamed into being more aggressive."

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BLS LawNotes Fall 2014

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