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FINRA Unveils Ranking System To Identify Rogue Brokers
By George C. Miller, Esq. of Shustak Reynolds & Partners, P.C. posted on Monday, November 20, 2017.
FINRA recently approved new policies aimed at increasing supervision and controls over so-called “high risk” brokers and financial advisors e.g., those with a history of significant past misconduct or regulatory problems. Read More
The brokerage business is in serious chaos
By SHUSTAK REYNOLDS & PARTNERS of Shustak Reynolds & Partners, P.C. posted on Sunday, August 21, 2011.
Like the accounting firms, which were once “The Big 8”, now reduced by more than half, brokerage firms are merging, closing shop and being snapped up by private equity firms. Brokers are jumping ship as the beleaguered firms do whatever Read More