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Posts Tagged ‘regulatory capture on Wall Street’

How Does FINRA Lose 8 Hours of Testimony? Wall Street’s “Kangaroo Court”

Posted by Larry Doyle on March 13th, 2012 11:03 AM |

I will admit that having written extensively and aggressively about Wall Street’s self-regulator FINRA over the last three years, I did not think there was anything more I could see that would surprise me.

Today I am surprised, shocked, and saddened.

For those in our nation who have a semblance of decency and a desire to see due process reflected in legal hearings and financial arbitration, I believe you will be similarly dismayed.

The case to which I will refer strikes deep into the core of Wall Street arbitration.¬† (more…)

Jim Cramer: “The SEC Isn’t Watching the Store”

Posted by Larry Doyle on July 19th, 2011 5:34 AM |

I will readily admit I am not a big fan of CNBC’s Jim Cramer. Perhaps it is more Jim Cramer’s style than his substance but for whatever reasons, I very rarely watch his show or follow his work.

I will also readily admit I am a HUGE fan of Themis Trading’s Joe Saluzzi. Based upon both style and substance, Joe Saluzzi, his sidekick Sal Arnuk and the team at Themis Trading are all worthy of immediate elevation into the upper echelon of the Sense on Cents Hall of Fame.

While a huge fan of Joe, Sal and Themis, and less a fan of Cramer, how uncanny that I am here this morning touting all of them for promoting real ‘sense on cents’ in defining the true nature of our equity exchanges. (more…)






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