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Does FINRA Offer Credit for Self-Reporting Issues? It Says It Does, But …

Leah | July 5, 2017

I check out an interesting piece a few days ago in Bank Investment Consultant about FINRA’s Enforcement program, particularly about the idea of broker-dealers self-reporting issues, and whether that was a clever thing to do. A few of the quotes…..

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Brokers’ Fifth Amendment Claims Fall on Deaf Ears at FINRA

Leah | July 5, 2017

The SEC supported an FINRA decision to suspend, and consequently bar, a broker for cannot appear to affirm about an FINRA examination. The Commission promoted the FINRA order on procedural premises, because the broker, Behnam Halali, cannot tire his administrative…..

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PriceSmart, Inc. (PSMT) EPS Estimated At $0.69; FireEye (FEYE) Sellers Decreased By 3.92% Their Shorts

Leah | July 5, 2017

FireEye Incorporated (NASDAQ: FEYE) had a reduction of 3.92% simply put interest. FEYE’s SI was 32.09 million shares in June as launched by FINRA. It’s down 3.92% from 33.40 M shares formerly. With 12.49 M Avg volume, 3 days are…..

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