News, Vision & Voice for the Advisory Community


Non-partisan watchdog group writes a scathing letter about FINRA

POGO, which uncovered the Pentagon's famed $7,500 coffee maker, says the would-be SRO is basically rife with conflicts of interest

Author Kelly O'Mara May 31, 2012 at 5:32 AM
no description available
Angela Canterbury: Several members of Bernard Madoff's family held leadership roles at FINRA.



June 3, 2012 — 5:51 PM

FINRA’s largest members are the primary parties responsible for our ongoing, severe economic crisis (other than the American people who let this happen). It is refreshing to know that other groups and individuals are actively working to stop this legislation. In addition, the trend of the Wall Street/Washington D.C. cozy relationships that are highly detrimental to the public must be reversed.

Related Moves

Charles 'Chuck Schwab' called James Gorman to protest a two-broker poach, kicking off a hydra-headed legal battle, costing Morgan Stanley millions, so far

The Schwab founder and chairman invoked Charles Schwab Corp.'s zero-tolerance policy against Wall Street -- or RIA -- poaching of talent and AUM from Schwab branches.

March 9, 2023 at 1:23 AM

Why FINRA's late appearance into smoothie-throwing broker James Iannazzo's life might be rough

It's been about 11 months since Merrill Lynch fired him, and the CFP Board stripped him of the CFP mark; attracting the SRO's attention means more woes.

December 29, 2022 at 1:05 AM

November 18, 2022 at 2:56 AM

Mentioned in this article:

MarketCounsel | HamburgerLaw
Compliance Expert, RIA Set-up Firm, Regulatory Consultant
Top Executive: Brian Hamburger

RIABiz Directory

The Industry Sourcebook for RIAs

   |    LISTING

RIABiz Directory sponsored by:

Directory Sponsor Logo