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Tuesday, 06/13/2017 10:13:04 AM

Tuesday, June 13, 2017 10:13:04 AM

Post# of 121642
FINRA IS USELESS!

Read this article about their failure to crackdown on crooked brokerages.

And Windsor Capitol (where Barton illegally traded billions of unregistered shares) is among the worst.

Windsor Street Capital - has been fined 12 times by FINRA since 2000 but may now face much stiffer penalties from the SEC.

Fifty-eight percent of the firm’s 48 brokers had FINRA flags on their records, according to the Reuters analysis. Over the years, FINRA fines have cost the firm about $300,000, and Windsor has appealed two other fines totaling more than $1 million.



http://www.reuters.com/investigates/special-report/usa-finra-brokers/