Try our Advanced Search for more refined results

Investment Bank's Dicey Emails Fetch $900K FINRA Fine

By Dani Kass ( May 11, 2016, 2:28 PM EDT) -- Stephens Inc. will pay the Financial Industry Regulatory Authority $900,000 to settle claims that the investment banking and private equity firm sent out mass internal emails with nonpublic information, which employees could then misuse for unfair trading, the regulator said Wednesday....

Law360 is on it, so you are, too.

A Law360 subscription puts you at the center of fast-moving legal issues, trends and developments so you can act with speed and confidence. Over 200 articles are published daily across more than 60 topics, industries, practice areas and jurisdictions.


A Law360 subscription includes features such as

  • Daily newsletters
  • Expert analysis
  • Mobile app
  • Advanced search
  • Judge information
  • Real-time alerts
  • 450K+ searchable archived articles

And more!

Experience Law360 today with a free 7-day trial.

Start Free Trial

Already a subscriber? Click here to login

Attached Documents

Related Sections

Companies

Hello! I'm Law360's automated support bot.

How can I help you today?

For example, you can type:
  • I forgot my password
  • I took a free trial but didn't get a verification email
  • How do I sign up for a newsletter?
Ask a question!