The Blog Of The Securities Industry Professional Association

Archive for November, 2017

Are You Not Entertained?

If Americans only knew  In the famous movie “Gladiator”, the young and insane new Caesar named Commodus has a myriad of problems stemming from a failing economy, years of war and a weird crush on his sister.  As the members of the senate begin to press him for solutions, he soon realizes he is way […]
Comments Off on Are You Not Entertained?

Justice Is Truly Blind

We have been outspoken about the FINRA Arbitration and Hearing system for many years now.  However, despite our constant chirping in this matter we continue to wonder if FINRA is upholding Justice or are they just plain blind?   Case and point: FINRA Hearing Panel Bars Broker for Defrauding Elderly, Blind Customer WASHINGTON — The Financial […]
Comments Off on Justice Is Truly Blind

Small Firm Committees : a waste of members money

Is it really worth it? After years of fighting for small members rights, we are beginning to question whether its worth it financially to continue with any of these elections nationwide. The Financial Industry Association (FIA) and later the SIPA , along with others like attorney and small firm advocate, Bill Singer of  Broke and […]
Comments Off on Small Firm Committees : a waste of members money