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Posts Tagged ‘proxy statement for FINRA merger’

Sense on Cents Calls on US Supreme Court to Hear Standard Chartered v. FINRA

Posted by Larry Doyle on December 6th, 2011 9:09 AM |

I first started writing about Wall Street’s not-for-profit self regulatory organization, aka the Financial Industry Regulatory Authority (FINRA), in early 2009.

In late 2009, I first referenced Standard Chartered v. FINRA, the case in which the plaintiff alleges that FINRA and its senior executives — including current SEC Chair Mary Schapiro — lied both verbally and in writing in the merger which formed FINRA.

Why would Mary and her friends lie?¬† (more…)






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