The Blog Of The Securities Industry Professional Association

SIPA Board Members Selling Out?

As it turns out maybe Lisa Roth was the only one being truthful or perhaps was the only one who would have the gumption to stand up to the FINRA board. That remains to be seen but the point is that the explanation given by FINRA is the exact SAME explanation that was included with the proxy ballot. As outlined last week, the rationale behind the lack of transparency makes no sense at all
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