Sep 15, 2015

FINRA has success tracking the migration of brokers with a pattern of sales practice abuse. This successful investigation shows the potential of applying tribe and social network analysis to finding bad actors as they move from firm to firm. FINRA Sanctions 10 Former Global Arena Representatives as a Result of FINRA Crackdown on Broker Migration

Regulator bars 10 at New York broker-dealer Global Arena Capital Corp. after investigating brokers who migrated from an expelled firm Finra cracks down on ‘cockroach’ brokers