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The SIPA | 2018 | April

The SIPA

The Blog Of The Securities Industry Professional Association
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Archive for April, 2018

Supreme Court Tackles Constitutional Limits of SEC

FINRA could be next if SCOTUS rules as expected The SCOTUS is hearing a case right now that may change the way the SEC and possibly FINRA have been conducting business for many years now. The SEC has used Administrative Law Judges  (ALJ’s) for some time to hear cases and appeals regarding SEC enforcement.  These […]
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TWO TIER JUSTICE SYSTEM

FBI and FINRA suffer from the same problem   Former FBI director James Comey has spent the last year making conflicting if not hypocritical statements about everything from Hillary Clinton’s e-mail server to Trump’s alleged Russian collusion.  He literally has become a pathetic looking sap of the political parties and the press as he flips […]
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BROKER BEWARE !

FINRA/SEC WATCHING TRUMP CAREFULLY The recent raid of Trump attorney Michael Cohen’s offices should have every broker and owner of a brokerage firm trembling today.   When news broke of this on Monday, our first thought was this is an outrageous and unconstitutional act that puts us all in uncharted waters.  Attorney client privilege (ACP) appeared […]
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TRUMP TAKES ON AMAZON?

Securities Regulation Suffers The SIPA has been rather obvious in its support of President Trump both before and after the election. Not to gloat but we did correctly predict in 2015 what everybody thought was impossible and correctly called the press and democratic/republican meltdown.  Click here so we can gloat! Donald Trump vs Peter Pan […]
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Lessons from Parkland

Making laws that don’t matter  The recent horrifying events in Florida have caused many to become unhinged in their rush to prevent this sort of tragedy from happening again.  Admittedly, as a father of a high school teen, I do not know how I would react if faced with the same horrific event. The media […]
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