Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

July 6, 2019

Some BS from FINRA in Small Firm AWC ( Blog)
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".