April 9, 2009
reflecting my feelings as well as other owners of small broker dealer firms, please do not allow finra to name the unnamed in conjunction with alleged sales practice violations. in too many instances finra staff is unnecessarilly disadvantaging the firms and industry professionals. this is but one example. brokers, brokers/dealers and other industry professionals as well as finra staff should be on the same page when trying to rebuild public confidence in the industry. when, in this instance, finra staff is attempting to drag in unnamed parties thus unnecessarily tarnishing the reputations of industry professionals, they do a disservice to the industry of which they are a part.