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Criminal Law

: SECLaw.com

FINRA Admits Getting Tipped Regarding Stanford

By Mark H. Astarita, Esq.

FINRA acknowledged today that  it received a tip from an employee in 2003 that the company was running a Ponzi scheme?but did not follow up. The reason for the lack of follow up is, according to testimony that Dan Sibears of FINRA will present today, is supposedly because FINRA policy is to only follow up on complaints from customers, not employees.Sibears says that the policy was changed in March of this year.More>>>

Full post as published by SECLaw.com on August 17, 2009 (boomark / email).

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