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The Financial Industry Regulatory Authority's (FINRA) latest step in its FINRA Forward initiative gives member firms a clear signal: changes may be coming to how it investigates, communicates, and resolves enforcement matters. The newly released report, prepared by outside reviewers Professor Paul R. Eckert of William & Mary Law School and former United States Securities and Exchange Commission (SEC) Commissioner Troy A.
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When the Wall Street Journal article came out in mid-November, Michael Taaffe started getting calls from friends in New York. Sarasota was ranked among the top five spots in the nation for bad stock brokers who prey on the rich and elderly, according to government data that the newspaper compiled.
As a journalist, you can create a free Muck Rack account to customize your profile, list your contact preferences, and upload a portfolio of your best work.
