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BrokeAndBroker: Challenge to FINRA

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Jan 17, 2008 12:48 pm

In response to many comments and queries from folks on this forum, I have just published an updated comment on my Blog.  I’m urging FINRA to do two things.  One, impose the same level of regulatory sanctions upon the big boys as they have been handing out to smaller firms and individual RRs.  Two, clean their own house in light of their abject failure to detect and supervise the subprime meltdown.

  Visit this link for the full blog comment: