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The SIPA | 2012 | December

The SIPA

The Blog Of The Securities Industry Professional Association
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Archive for December, 2012

A New Way to Steal Client Money

How FINRA and Merrill Lynch now define theft   Every month I peruse the monthly disciplinary actions for two reasons. First to see what the trend of actions currently is and secondly to see if I know any of the firms or people who are being named.  This month was no different but one case in […]
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Fiscal Cliff or Emperors New Coat?

 Wall Street continues to control Washington As the press reports on this fairy tale called a fiscal cliff, I can’t help but be reminded of the famous children’s tale about an Emperor who ordered the greatest coat in the history of mankind to be made for him.  As the emperor proudly marched down the streets […]
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