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Posts Tagged ‘FINRA non-binding proxy proposals’

FINRA vs Amerivet Attorneys: Mano a Mano

Posted by Larry Doyle on September 30th, 2010 8:29 AM |

Will America ever learn what truly transpired within Wall Street’s self-regulatory organization, FINRA?¬†Will FINRA be allowed to placate its members and America while not addressing the hard questions those constituencies want answered?

FINRA member firms voted overwhelmingly in support of a number of non-binding proxy proposals sponsored by Amerivet Securities. I highlighted the overwhelming vote in my August 14th commentary, FINRA Gets New ‘Sheriffs’; Amerivet Proxy Proposals Approved!! Well, I know that our financial regulatory system is far from democratic but FINRA’s response to the overwhelming votes leads one to believe FINRA looks to redefine the term, “autocratic.” Let’s review the FINRA statement and the counterpunch provided by the attorneys representing Amerivet Securities. (more…)






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