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RJ & Makay

Our view of news, events and human capital trends in the financial services industry.

promissory notes

SIFMA urges FINRA to crack down on deadbeat brokers

Posted by RJ and Makay on Jan 17, 2012

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SIFMA The Securities Industry and Financial Markets Association (SIFMA), in its effort to discipline deadbeat brokers, wants the Financial Industry Regulatory Authority (FINRA) to reign in brokers that have failed to pay back promissory note loans. SIFMA is urging FINRA to amend its rules to prevent brokers from pleading poverty to avoid arbitration repayment orders.