The Wall Street Legal & Regulatory Feed
Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW
July 6, 2019
Some BS from FINRA in Small Firm AWC (BrokeAndBroker.com Blog)
http://www.brokeandbroker.com/4685/FINRA-BS-AWC/
In today's blog we come across yet another Small FINRA Member Firm running afoul of the self-regulatory-organization's rules. It's another one of those woulda, coulda, shoulda matters in which FINRA has the firm dead to rights. Our publisher, Bill Singer, doesn't argue the point; however, Bill does use this case as an opportunity to take FINRA to task for playing hide-and-seek with some "BS".