Did FINRA let Corzine’s registration lapse?

By Staff | November 4, 2011 | Last updated on November 4, 2011
1 min read

Noted Wall Street blogger Bill Singer has raised questions about the registration status of Jon Corzine, who today announced his resignation as CEO of MF Global. The firm filed for bankruptcy protection earlier this week.

Apparently Corzine hasn’t been properly registered for about 12 years—ironic considering the organization is a stickler about not issuing waivers or grandfather clauses.

The Securities Exchange Commission recently put the regulator on notice to clean up its internal procedures.

Advisor.ca staff


The staff of Advisor.ca have been covering news for financial advisors since 1998.