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People Moves Related to "What FINRA's CEO shuffle reveals about its waning viability as the self-funded fox guarding the investor henhouse"


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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

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