Tag Archives: financial industry regulatory authority


Stanford workers had ties to regulator FINRA

February 27, 2009 : Permalink

Reuters – Two employees of Allen Stanford’s financial business, which U.S. regulators have accused of massive fraud, held advisory roles at a watchdog group overseeing U.S. broker-dealers aimed at preventing abuses. Lena Stinson, director of global compliance at Stanford Financial […]

Senate Approves Schapiro as New Head of SEC

January 23, 2009 : Permalink

New York (HedgeCo.Net) – Mary Schapiro, who most recently was the CEO for the Financial Industry Regulatory Authority, is now the head of the Securities and Exchange Commission.  The Senate approved Schapiro yesterday, a month after being nominated President Barack […]

US regulators probed Madoff eight times over 16 years

January 5, 2009 : Permalink

MSN Money UK – Bernard L. Madoff Investment Securities LLC was examined at least eight times in 16 years by the U.S. Securities and Exchange Commission (SEC) and other regulators, who often came armed with suspicions, the Wall Street Journal […]