2012-08-21 — americanbanker.com
``"While the results of these initial inspections cannot be generalized to all securities broker and dealer audits and represent only a small portion of the inspections planned for the interim program, the nature and extent of the findings are of concern to the board," James R. Doty, chairman of the Washington-based industry-funded nonprofit, said in a statement.
The report came a week after New York-based WJB Capital Group Inc. was expelled from the brokerage industry for misstating financial records and nine months after the collapse of MF Global Holdings Ltd., which left customer funds unaccounted for when it filed for bankruptcy.''
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