The Blog Of The Securities Industry Professional Association

Archive for January, 2016


Disciplinary and other FINRA actions January 2016  Hillary Rodham Clinton (Crd # 098765)   was fined $100,000 and prohibited from associating in any capacity for a period of 2 years for not complying with e-mail archiving rules.  Ms. Clinton failed to properly store, maintain and archive her emails in a non editable format that is on […]

The Wizard of Fed Oz

Pay no attention to that man behind the curtain  As we watch yet again the confusing signals of the stock market and the actions of the Fed Reserve, I can’t help but think of the classic movie the Wizard of Oz.   The last 8 years have certainly been the most bizarre and confounding mix of […]
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FINRA firing expensive bullets into Zombies

  Time for a FINRA reevaluation of importance  Each month I can’t wait to study the monthly disciplinary actions on FINRA’s web site for two reasons: First, what sort of idiotic thing did somebody try to pull and Secondly and more importantly, who do I know on the list?  After 20 plus years in the […]
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