The Blog Of The Securities Industry Professional Association

The Candidates to Debate

The SIPA to moderate a Question and Answer with Small seat Candidates

The SIPA has been asked to help moderate a “Meet The Candidates” forum on Friday July 30th at the Financial Services Exchange meeting being held this week at the Ritz Carlton in Fort Lauderdale Florida. Candidates for the three FINRA Board of Governors seats include Jed Bandes, Joel Blumenschein and Ken Norensberg. In addition, invitations were also extended to other candidates who were appointed by FINRA and as of this writing only Lisa Roth has agreed to attend and we credit her for being open to this question and answer. The purpose of this event is to give members a chance to hear the potential candidates a chance to express their views and objectives should they be elected. More importantly though it will give you the Broker Dealer owner and voter a chance to grill all the candidates and be certain of your vote before placing it. Toward that end we will be selecting questions from members in the audience as well as submitting e-mail questions. If you would like to submit a question to be put forth to any or all candidates you may do so by submitting it to:

The forum will start at 4:00 pm and you may submit questions up to that time but please be advised that all submissions must include your name, your firm name and you must be the executive representative of you firm. Although your identity will not be revealed when the question is asked, we believe that only legitimate question from eligible voters should be submitted. If you would like to attend the event please contact Ms. Judy Ensweiller of the FSX at 972-370-3791 or you may e-mail her at you may also visit for more information on the event.

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July 26th, 2010



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