SEC Slams FINRA for Sandbagging

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Jul 22, 2008 10:53 am

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I would urge you all to read this fascinating case involving a FINRA matter in which the SEC dresses down FINRA for failing to specify with adequate detail the full charges against a broker.  This is a case to print-out and save for your records.

 
http://www.brokeandbroker.com/index.php?a=blog&id=66
 
Bill Singer