Wednesday, August 12, 2015

Spike in FINRA, SEC Regulation Leaves Star Brokers Exposed

We represent big producers and teams across the country, and have done so for years. While this article presents an unfair characterization of big producers, it makes a good point. FINRA and the SEC are cracking down and firms are looking to maximize profits (which sometimes means getting rid of brokers). None of that is good for brokers, and the  top teams are not immune from the problems.

Brokers need to protect themselves; unfortunately from their own firms as well as overzealous regulators.

Spike in FINRA, SEC regulation leaves star brokers exposed

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Mark Astarita represents financial advisers across the country in their regulatory, transition and employment matters. Got a question? Give him a call at 212-509-6544.


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