January 3, 2014
Joe Halpern Quoted in InvestmentNews: FINRA Pressure on Complex Products
Exceed Investments CEO Joseph Halpern was quoted in today’s InvestmentNews article, “Finra Keeping Pressure on Complex Products in 2014” (free registration required).
“Structured products will be on this list [of FINRA examination priorities] forever,” he said. “This whole list is a fair list of the complex products out there.”