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May 10, 2016

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If you were unable to view yesterday's BrokeAndBroker.com Blog postings because of the Time Warner outage, please see the articles below::

FINRA Wins Scottsdale Capital Advisors Motion To Dismiss

This is an update of "Scottsdale Sues FINRA In Edgy Effort To Halt Disciplinary Case" (BrokeAndBroker.com Blog, March 28, 2016) READ

Female Completed Continuing Ed For Male Supervisor

To say that a recent FINRA regulatory settlement - or two settlements, to be precise - perplexes me would be a gross understatement. All of which prompted today'sBrokeAndBroker.com Blog, which you may call a diatribe, jeremiad, tirade, or angry critique. However you view my commentary, consider the facts for yourself and feel free to draw your own conclusions. READ