http://www.compliancebuilding.com/2009/10/09/finra-is-thinking-about-changing-its-communications-rules/ Doug Cornelius on compliance and business ethics for private equity real estate Mon, 13 Feb 2012 12:56:20 +0000 hourly 1 http://wordpress.org/?v=3.3.1 http://www.compliancebuilding.com/2009/10/09/finra-is-thinking-about-changing-its-communications-rules/comment-page-1/#comment-5149 Implementing Compliance Practices for Social Media | Compliance Building Wed, 17 Mar 2010 18:39:49 +0000 http://www.compliancebuilding.com/?p=4525#comment-5149 [...] The notice is just guidance, not a rule. FINRA is looking at a new rule. See Regulatory Notice 09-55. [...] [...] The notice is just guidance, not a rule. FINRA is looking at a new rule. See Regulatory Notice 09-55. [...]

]]> http://www.compliancebuilding.com/2009/10/09/finra-is-thinking-about-changing-its-communications-rules/comment-page-1/#comment-3919 Articles about Web 2.0 as of October 9, 2009 | The Lessnau Lounge Tue, 12 Jan 2010 00:50:57 +0000 http://www.compliancebuilding.com/?p=4525#comment-3919 [...] [...] [...] [...]

]]> http://www.compliancebuilding.com/2009/10/09/finra-is-thinking-about-changing-its-communications-rules/comment-page-1/#comment-2115 Chris Wanken Wed, 14 Oct 2009 19:32:35 +0000 http://www.compliancebuilding.com/?p=4525#comment-2115 I am going through an absolute nightmare arbitration claim with FINRA, the Financial Industry Regulatory Authority. Paid for by the industry, for the industry. My hearing has been delayed time and time again. We had an arbitrator who had fraudulent degrees - a MA and PhD from a degree mill. I had to PUSH to get this guy off the panel-- FINRA was going to let him stay as the chair -- and to the best of my knowledge, he is still a FINRA arbitrator and chair! so, someone else could get him next... the respondent filed a retaliatory lawsuit against me - that was dismissed and he was sanctioned - but i spent tens of thousands of dollars fighting and wasted time with it. Check out my blog, www.myfinraclaim.com to read my story. and what is wrong with mandatory arbitration clauses. and FINRA - this is the only place for relief for investors and associated persons. and it is completely industry driven and run. it's shameful... it's time for congress to take over finra and have real regulation of the financial services industry... the commercials they are running? a joke. i haven't been able to get a job in 19 months because of this - and they want me to wait another 4-6 months to get my day in court. I am going through an absolute nightmare arbitration claim with FINRA, the Financial Industry Regulatory Authority. Paid for by the industry, for the industry. My hearing has been delayed time and time again. We had an arbitrator who had fraudulent degrees – a MA and PhD from a degree mill. I had to PUSH to get this guy off the panel– FINRA was going to let him stay as the chair — and to the best of my knowledge, he is still a FINRA arbitrator and chair! so, someone else could get him next… the respondent filed a retaliatory lawsuit against me – that was dismissed and he was sanctioned – but i spent tens of thousands of dollars fighting and wasted time with it. Check out my blog, http://www.myfinraclaim.com to read my story. and what is wrong with mandatory arbitration clauses. and FINRA – this is the only place for relief for investors and associated persons. and it is completely industry driven and run. it’s shameful… it’s time for congress to take over finra and have real regulation of the financial services industry… the commercials they are running? a joke. i haven’t been able to get a job in 19 months because of this – and they want me to wait another 4-6 months to get my day in court.

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