The Gates of Hell: Bill Singer's Take on 3 FINRA Cases

December 7, 2009

 

 

The FINRA Gates of Hell

Above the gates to Hell is a sign: "Abandon Hope All Ye Who Enter Here" - some folks swear that the same words are posted above the doors to the Financial Industry Regulatory Authority (FINRA). However, as a few recent FINRA disciplinary cases show, not every regulatory case results in the respondent being damned for life.

By: Bill Singer, Publisher of RRBDLaw.com and BrokeAndBroker.com

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