http://www.memphisflyer.com/CityBeatBlog/archives/2010/04/07/sec-going-after-morgan-keegan-and-james-kelsoe Comments On: SEC Going After Morgan Keegan and James Kelsoe by John Branston en-us Copyright 2013 Memphis Flyer. All rights reserved. This RSS file is offered to individuals, Memphis Flyer readers, and non-commercial organizations only. Any commercial websites wishing to use this RSS file, please contact Memphis Flyer. wil@desert.net (Memphis Flyer Webmaster) Fri, 24 May 2013 00:00:01 -0500 Fri, 24 May 2013 21:30:00 -0500 Foundation http://blogs.law.harvard.edu/tech/rss Posted by Packrat]]> Thu, 08 Apr 2010 15:43:57 -0500 Memphis Flyer
FINRA is the so-called "self-regulatory" agency run by the exchanges that is supposedly the first line of defense for investors against unscrupulous brokers and their firms since that's who licenses, and in theory, regulates the business practices of those brokers/firms.
Posted by AliasElias]]> Thu, 08 Apr 2010 14:05:19 -0500 Memphis Flyer Posted by Packrat]]> Thu, 08 Apr 2010 12:36:59 -0500 Memphis Flyer Posted by echmcl3382]]> Thu, 08 Apr 2010 12:10:51 -0500 Memphis Flyer Posted by urbanut]]> Thu, 08 Apr 2010 09:21:28 -0500 Memphis Flyer
But, the SEC's giving credit to FINRA is a joke: several of FINRA's arbitration panels let MK get away with defrauding dozens of investors of millions of dollars, and, furthermore, FINRA itself could have taken its own action against MK, but didn't, just as it didn't (though it also could have) against Bernie Madoff.
Posted by AliasElias]]> Wed, 07 Apr 2010 23:09:26 -0500 Memphis Flyer Posted by 38103]]> Wed, 07 Apr 2010 17:39:47 -0500 Memphis Flyer