LENDRUM LAW FIRM, A.P.C.
Financial Fraud and Investment Loss Recovery Attorneys
619-573-6903 888-809-7832

February 2014 Archives

FINRA finds happy regulatory medium tough to maintain

It's not easy being FINRA. On one hand, the Financial Industry Regulatory Authority Inc. is widely criticized for not being tough enough in going after stockbroker malpractice. On the other, it is under fire for some of its proposals for trying to improve how it fulfills its regulatory responsibilities. What's a body to do?

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