Analysis: Broker case shows FINRA's wide-ranging power

02/25/2013 | Reuters

In a dispute with the Financial Industry Regulatory Authority, broker Gregory Evan Goldstein has refused to turn over documents relating to a separate consulting business he operates, one that FINRA does not oversee. The regulator's decision to fine, suspend and threaten to bar Goldstein over the refusal is emblematic of the agency's power over its members.

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