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The Securities Industry Professional Association (the SIPA) is one of the largest trade organizations in the country and fights for the rights of Financial Advisers and Small Broker Dealers around the world.

On-Demand Episodes

Ronnie Sue Ambrosino , the Head of The Madoff Victims Coalition will be with us to give us an update and answers on the whole Madoff Mess. Think you knew everything about this situation? Think again! Peter Madoff committed suicide... more

Once again Good ol Goldman Sachs is in the news for all the wrong reasons. Maybe its time to lay the hammer down at Goldman? Of course not, why would you bother regulating them when everyone makes so much money off... more

The message sent to Wall Streets elite firms is that if you commit securities fraud you may have to use your debit card to pay the fine and do not worry about jail time as long as you sing like a canary after your caught. Poor... more

The FINRA board is already planning on dumping the proxies into the disposal. Should firms be worried? we think so.

The SIPA was the moderator for 5 would be FINRA small firm candidates and things got a little feisty. The Financial Services Exchange (FSX) hosted the debate at their quarterly meeting in Ft. Lauderdale and was followed by a talk on... more

The SEC announced today that 12b-1 fees will be eliminated. This could be bad for small B/D's and even worse for Investors. FINRA dissident candidates will weigh in with their opinion as well as their opinion on the proxy ballot before... more
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