RIABiz

News, Vision & Voice for the Advisory Community

RIABiz

Non-partisan watchdog group writes a scathing letter about FINRA

POGO, which uncovered the Pentagon's famed $7,500 coffee maker, says the would-be SRO is basically rife with conflicts of interest

Author Kelly O'Mara May 31, 2012 at 5:32 AM
Admin:
1 Comment
no description available
Angela Canterbury: Several members of Bernard Madoff's family held leadership roles at FINRA.

RIA Compliance

|

Women of Wealth Management


Related Moves

March 9, 2023 at 1:23 AM

Why FINRA's late appearance into smoothie-throwing broker James Iannazzo's life might be rough

It's been about 11 months since Merrill Lynch fired him, and the CFP Board stripped him of the CFP mark; attracting the SRO's attention means more woes.

December 29, 2022 at 1:05 AM

November 18, 2022 at 2:56 AM


Mentioned in this article:

MarketCounsel | Hamburger Law Firm
Consulting Firm, Compliance Expert, Legal Services for RIAs
Top Executive: Brian Hamburger




jwb

jwb

June 3, 2012 — 5:51 PM

FINRA’s largest members are the primary parties responsible for our ongoing, severe economic crisis (other than the American people who let this happen). It is refreshing to know that other groups and individuals are actively working to stop this legislation. In addition, the trend of the Wall Street/Washington D.C. cozy relationships that are highly detrimental to the public must be reversed.

RIABiz Directory

The Industry Sourcebook for RIAs

   |    LISTING


RIABiz Directory sponsored by:

Directory Sponsor Logo

White Paper Postings


Common Tags


Recent Articles


Popular Writers


RIABiz logo

RIABiz

About Us

Directory

Archives

Connect

RIABiz, Mill Valley, California
Copyright © 2009-2022 RIABiz Inc. All rights reserved.