The SIPA

The Blog Of The Securities Industry Professional Association
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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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Merrill Lynch The Small Firm Advocate

Say what? Merrill Lynch is a small firm? Last I checked they were one of the largest firms on the street with more reps then most cities. Now I know that they have many divisions and brokerage arms at these mega firms but give me a break.
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