Finra’s “High Risk Broker” program targets individuals with large numbers of disciplinary red flags, but the initiative hasn’t barred any of the brokers associated with Stratton Oakmont, the firm depicted in the film ‘The Wolf of Wall Street.’
WSJ.com: WSJ India, Wall Street Journal: World: India
Wed, 03/04/2015 - 4:30pm
Finra’s “High Risk Broker” program targets individuals with large numbers of disciplinary red flags, but the initiative hasn’t barred any of the brokers associated with Stratton Oakmont, the firm depicted in the film ‘The Wolf of Wall Street.’