FINRA追求Rogue Brokers，并包括REIT，市政债券和Frontier Markets在其2014年的执行优先级中

金融行业监管机构正在建立由六个成员组成的团队，以查看具有长期投资者投诉和违规记录的股票经纪人，以及参与的股票经纪人“蟑螂”-which involves brokers moving among beleaguered firms. The crack down comes amidst pressure from lawmakers on Capitol Hill.

根据对国家证券记录的分析bob200体育华尔街日报last year, between 2005 and 2012 there were over 5,000 licensed securities brokers who had worked with at least or more firms that had been expelled by FINRA. The analysis also revealed that there were brokers who, even in the wake of being targeted by numerous arbitration claims or having declared bankruptcy more than once, have managed to keep working in the industry.

FINRAannounced this new initiative this week in a letter to approximately 4,180 broker-dealers that are registered with the SRO. It said it would use the Broker Migration model, a computerized analytic system, to look at brokers who have gone from an expelled brokerage firm to other firms.

这些最新动作是Finra为更好地保留警察经纪公司的努力而扩大了流氓经纪人。它已经禁止22家经纪人在这些尝试中违反规则。这些人中约有50％是通过投资者的投诉和提示，仲裁索赔和监管披露表格来识别的。

FINRA在2014年的其他执法优先事项包括在越南和尼日利亚等边境市场上投资的共同基金，这些资金可能是风险，流动性较小，投资者保护标准较低，而不是美国要求的较低的投资者保护标准。SRO还计划打击计算机驱动的交易策略，并仔细研究市场结构问题。

FINRA市场监管官蒂姆·吉拉（Tim Gira）表示，监管机构还将为替代交易系统（例如黑池）发布最佳实践。他说，在检查了一年的非交换交易场所之后，SRO发现某些ATS的操作并不总是与描述方式的方式保持一致，有时“从专有基础进行交易”与所披露的差异不同。

同时，FINRA仍然担心有兴趣利率敏感的结构化产品，包括市政证券，以及反洗钱，bob200体育microcap securities fraud和网络安全。还在市场营销和出售给（以及对投资者的适用性）方面的范围：复杂的结构化产品，私人房地产投资信托，债券基金，抵押贷款支持证券bob200体育，，，，bond ETFs, emerging market debt, municipal bonds, baby bonds, and private placement securities. FINRA says it will continue to watch out for senior financial fraud, microcap fraud, insider trading, and algorithmic trading abuses.

我们的bob200体育证券欺诈律师work with investors throughout the United States, as well as investors abroad with claims against a firm based in this country. Contact Shepherd Smith Edwards and Kantas, LTD LLP today.

Finra to Crack Down on Brokers With High Number of Complaints，，，，华尔街日报，2014年1月2日
来自FINRA，2014年1月2日
FINRA今年启动了16位流氓经纪人，对“行动”的又有26个目标，投资新闻，2013年11月22日

更多博客文章：

FINRA仲裁小组说，富国银行必须从投资者那里回购9400万美元的拍卖率证券bob200体育，，，，Stockbroker Fraud Blog, December 29, 2013

美国银行在全国范围bob200体育

FINRA考虑将在2013年12月27日，机构投资者证券博客中“红旗”客户帐户“危险信号”客户帐户bob200体育