Relevant:
- FINRA May Report MBS, CDO Transaction Details
- Regulators Target 'High Risk' Brokers
- FINRA Hearing Panel Bars Broker for Manipulating Stock Price Downward to Benefit Hedge Fund Client
- Grassley Steps Up SAC Insider Trading Inqury: Demands SEC Information On How Regulator Resolved Steve Cohen FINRA Referrals
- FINRA Unleashes Dark Pool Fury On Goldman Next With Whopping $800,000 Fine | Zero Hedge
2009-09-27 — wsj.com
``The volatile ride is causing a minirevolt among the regulator's member firms, which fund Finra and stock its board of governors. Amerivet Securities Inc., an Inglewood, Calif., securities firm, accused Finra in a lawsuit last month of being "reckless in pursuing high-risk strategies inappropriate to preservation of capital."''
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