Category: FINRA
By Larry Doyle on Jan 15, 2012 in Current Affairs, Economy, FINRA, SEC, Sense on Cents (Larry Doyle blog), Wall Street | View Comments
Will we learn in 2012 if Mary Schapiro, current chair of the SEC, and other then senior executives at the Wall Street self-regulatory organization, FINRA, engaged in a fraud? The case addressing this question, Standard Chartered v FINRA, has been appealed to the highest court in our land. As such, one might think that most [...]
By Larry Doyle on Oct 31, 2010 in Barney Frank, Christopher Dodd, Current Affairs, Democratic Party, Economy, FINRA, Fannie Mae, Franklin Raines, Housing & Housing Crisis, Mortgage Crisis, Sense on Cents (Larry Doyle blog) | View Comments
The Wall Street-Washington incest MUST end. This coming Tuesday, America has a chance to ring that bell, expose that incest, cleanse the system, and deliver the message loud and clear. The peal of that bell must emanate from the 4th District in the state of Massachusetts. You do not need to read Sense on Cents [...]
By Larry Doyle on Mar 2, 2010 in Bernie Madoff, Economy, FINRA, SEC, Sense on Cents (Larry Doyle blog) | View Comments
In an interview on the Today show Monday morning (video clip after the fold), Harry Markopolos dropped a few bombshells. Harry’s statement that he had purchased a gun and mentally prepared himself to kill Bernie Madoff in self-defense if need be will likely grab the most attention. It shouldn’t. Markopolos’ biggest bombshell this morning is [...]
By Larry Doyle on Feb 13, 2010 in American Consumers, Auto Industry, Current Affairs, Economy, FINRA, SEC, Sense on Cents (Larry Doyle blog) | View Comments
When regulators are in bed with industry, bad things happen. When regulators actually go to work for the industry, then really bad things happen. Evidence of this dynamic on Wall Street is overwhelming. Yet, don’t think Wall Street has a monopoly on this incest. Bloomberg highlights incestuous activity has also played out in the disaster [...]
By Larry Doyle on Nov 1, 2009 in Bernie Madoff, Current Affairs, Economy, FINRA, SEC, Sense on Cents (Larry Doyle blog) | View Comments
Did FINRA invest its own funds from its internal investment portfolio with Bernie Madoff? Would FINRA’s head Mary Schapiro invest with her “dear friend” Bernie? Stick with me on this and let’s navigate the newest development in this ongoing scam. My concluding remarks provide insights you won’t find in many mainstream media outlets. High five [...]
By Larry Doyle on Oct 20, 2009 in Economy, FINRA, SEC, Sense on Cents (Larry Doyle blog), Wall Street | View Comments
Is Mary Schapiro a liar? Are other FINRA executives also liars? Fully appreciating that merely asking these questions is aggressive by its very nature, I do not ask them in a derisive fashion. The fact is, the answer to those questions in the eyes of Richard Greenfield is an unequivocal, “Yes!” Who is Richard Greenfield? [...]
By Larry Doyle on Oct 4, 2009 in Bernie Madoff, Economy, FINRA, SEC, Sense on Cents (Larry Doyle blog) | View Comments
The core of that question resides within the regulatory oversight of our financial industry. The American public is beginning to learn a lot about this financial regulatory oversight. How so? A month ago, SEC Inspector General David Kotz released a report, Investigation of Failure of the SEC to Uncover Bernard Madoff’s Ponzi Scheme (embedded here). [...]
By Larry Doyle on Oct 4, 2009 in Bernie Madoff, Economy, FINRA, NoQuarter Radio, SEC, Sense on Cents (Larry Doyle blog) | View Comments
UPDATE: This episode of No Quarter Radio’s Sense on Cents with Larry Doyle has concluded, but you can listen to an audio playback here. ******************* Please join me this evening for NQR’s Sense on Cents with Larry Doyle as we dig deeper and work harder in navigating the economic landscape. My special guest will be [...]
By Larry Doyle on Sep 16, 2009 in Bernie Madoff, Economy, FINRA, SEC, Sense on Cents (Larry Doyle blog), Wall Street | View Comments
On the heels of President Obama’s speech on Wall Street at which he called for meaningful financial regulatory reform, I welcome submitting to him and the American public the following video clips. These clips are from Fox Business News “America’s Nightly Scoreboard” with David Asman on September 3rd. While President Obama and Congress may believe [...]
By Larry Doyle on Aug 25, 2009 in Bernie Madoff, Current Affairs, Economy-Federal Agencies, FINRA, Sense on Cents (Larry Doyle blog) | View Comments
Note: I originally posted this piece on my blog this morning (Tuesday, August 25th) at 10:47 a.m. Shortly thereafter, the article (“FINRA Rebuffs Amerivet’s Demand to Inspect Records”) that I reference in my post was removed from the Financial Planning website. I was able, however, to get a copy of the Amerivet Securities vs. FINRA [...]
By Larry Doyle on Jun 5, 2009 in Economy, FINRA, SEC, Sense on Cents (Larry Doyle blog) | View Comments
Does SEC chair Mary Schapiro have the personal courage to lead a new and emboldened financial regulatory regime? Ms. Schapiro has always been viewed as being far too cozy with the financial industry. Sense on Cents first crossed paths with current SEC chair Mary Schapiro this past January at the time of her exceptionally easy [...]
By Larry Doyle on May 8, 2009 in Economy, FINRA, SEC, Sense on Cents (Larry Doyle blog), U.S. Treasury, Wall Street | View Comments
Can Barack Obama’s horses and men in the persons of Ben Bernanke, Tim Geithner, Larry Summers, Paul Volcker, Rham Emanuel, Sheila Bair, and their minions put Wall Street together again? The glue and putty in the form of trillions of dollars of taxpayer funds and commitments is still wet. Mr. “Humpty Dumpty” Wall Street is [...]
By Larry Johnson on Apr 29, 2009 in Current Affairs, Economy, FINRA | View Comments
Larry Doyle first wrote about the fact that FINRA had invested in Auction Rate Securities on January 16, 2009. At that point, and in light of the softball questioning accorded Mary Schapiro in her nomination process as new head of the SEC, Larry wrote, “Let’s Really Question Ms. Schapiro.” Larry pursued this story with a [...]
By Larry Doyle on Apr 29, 2009 in Bernie Madoff, Economy, FINRA, SEC, Sense on Cents (Larry Doyle blog) | View Comments
Every exterminator will tell you that he never finds just one rat. Bernie Madoff has been exposed as an enormous rodent. Is Allen Stanford also a rat? Who else may be in the pack? Mary Schapiro, head of the SEC, revealed yesterday that the SEC is reviewing 150 other hedge funds to determine whether they [...]
By Larry Doyle on Apr 16, 2009 in FINRA | View Comments
I eagerly await the soon to be released 2008 Annual Report of the Financial Industry Regulatory Authority (FINRA). Prior to its release and in light of all the turmoil on Wall Street over the last 24 months, I thought it may be timely to review the mission and some recent history of the “palace guard,” [...]
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