Articles written by Guest Columnist Patrick Burns


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Why MSSB's legal hardball in Idaho could bring overdue change to the Broker Protocol

As the Broker Protocol nears its 10th birthday, the author argues that branch managers who jump ship and then recruit others deserve legal cover

June 12, 2013 — 5:05 AM UTC

FINRA is making dog whistle comments hinting its SRO ambitions still simmer

'Harmonization' comments by Richard Ketchum make all the talk of the group abandoning its RIA-oversight ambitions seem like bunk

March 18, 2013 — 5:20 AM UTC

Analysis: Beware of a FINRA bearing gifts for RIAs

The broker regulator takes another step towards ruling RIAs by making its arbitration process open to them

December 7, 2012 — 4:52 AM UTC
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