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Google News: 大卫雷纳因不当开展业务遭监管机构制裁
[腾讯网] - 金融行业监督管理局会员监管销售实务执行副总裁苏珊阿科斯罗德（Susan Axelrod）指出，“本次执法将是对各会员企业高级执行人员的警告，即使是各个首席执行官，我们也会为系统，有意的伤害客户行为追究他们的责任。”她强
David Lerner's firm ordered to pay $12 million to customers
www.reuters.com
[Reuters] - "The case sends a message to supervisors and people who hold positions of authority at firms," said Susan Axelrod, head of FINRA's member regulation unit. The sanctions against Lerner personally are unusual and "a different message than the firm being
Conflict of Interest? Moi?
online.wsj.com
[Wall Street Journal (blog)] - In the next few weeks, according to Susan Axelrod, an executive vice president at Finra, its regulators will start to examine 14 big firms, which she declined to name. Finra—a self-regulatory organization funded by the securities industry—telegraphed
Fighting elder financial fraud | The Sacramento Bee
www.sacbee.com
“Armed with a checkbook, he was able to write checks to his benefit,” which allegedly totaled $88,500, said Susan Axelrod, FINRA executive ...
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