Broker- Dealer Law Corner

Broker- Dealer Law Corner

Category Archives: Board of Governors

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FINRA’s Board Continues To Bend In the Wind Of Criticisim

Posted in Arbitration, Board of Governors, Enforcement, FINRA, PIABA, Registered Representative, Rogue rep, Rule 2010, Sanctions
On Wednesday, the FINRA Board met and discussed two topics that I recently blogged about: recidivist brokers and unpaid arbitration awards.  In predictable fashion, FINRA withered in the face of criticism that its existing rules and policies are somehow not tough enough on its member firms, and embarked on a proposed series of steps that,… Continue Reading

How Do You Make a Million Dollars? Become Part of FINRA Senior Management!

Posted in Annual Report, Board of Governors, FINRA
I’m not sure that I’m as excited as Navin Johnson was when the new phone books were delivered — – but I was pretty happy when FINRA published its 2014 Year in Review and Financial Report. That’s because, at a minimum, I get to enjoy the part where it reveals the compensation paid to… Continue Reading