RRBDlaw.com: November FINRA Cases Online

December 1, 2009

Bill Singer has just posted his analyses of some of November's interesting FINRA cases. There are a number of interesting National Adjudicatory Council (NAC) appeals -- and Bill raises provocative questions about sanctions and delays in posting the appellate decisions on FINRA's website.

Read the cases at:

http://www.rrbdlaw.com/enforcement-actions/index.php?cid=1