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Sep 17, 2007 5:11 pm

Read Bill Singer's analysis of the recent NASD/FINRA disciplinary cases.  Interesting increase in escrow violations.  Growing number of registration problems involving research analysts and FINOPs.  Is there a reason for the explosion in borrowing-from-customer cases? .htm

Oct 24, 2007 11:56 am

Got any new monthly cases to put out rrbdlawyer?

  as always thanks for the info.   This is a good link for some with questions: