Comments on: Radio Program Explains the U.S. Financial Crisis (Part 2) http://www.paulvanslembrouck.com/blog/2009/this-american-life-episode-275-bad-banks/ Mon, 30 Aug 2010 06:00:36 +0000 http://wordpress.org/?v=2.9.2 hourly 1 By: Michael Stevens http://www.paulvanslembrouck.com/blog/2009/this-american-life-episode-275-bad-banks/comment-page-1/#comment-71 Michael Stevens Wed, 15 Apr 2009 21:45:14 +0000 http://www.sketchflow.com/?p=229#comment-71 To whom it may concern: My name is Michael Stevens and I am the Administrative Assistant for Thornton & Associates, LLC. Steven L. Thornton is the President and founder of Thornton & Associates, LLC. Our firm is a regulatory and compliance consulting firm that services FINRA member broker dealers across the United States. Prior to forming Thornton & Associates, Mr. Thornton worked as a securities examiner for the NASD/FINRA. He has over 15 years of regulatory and accounting experience and he believes that he may be a valuable asset to your radio program as a commentator or guest. He has a broad based knowledge of securities regulation and brokerage operations. In the volatile markets that we face today, it may be important for your listeners to have access to someone who has a complete knowledge of SEC, FINRA, NYSE and state securities rules, regulations and statutes. Some of the issues that he may be able to comment on are: • SIPC and FDIC insurance • SEC Uptick rules • If and when you should change brokerage firms • How will the regulators react to these radical shifts in the market • What rights do investors have if they are hurt by their broker as a result in the drop in the market • If you do have a complaint, how do you proceed • What rules and regulations are in place to prevent these events • General Q&A Steve is regularly a speaker at dozens of compliance conferences and meetings. If you are interested in having Steve Thornton on your program, please feel free to contact me at (877) 542-6759 ext.100 or via e-mail at michael@thorntonandassociates.com. For more information about our company and Steve’s background, please visit our website at www.finraaudit.com. Thank you and I look forward to speaking with you soon. Michael S. Stevens Administrative Assistant To whom it may concern:

My name is Michael Stevens and I am the Administrative Assistant for Thornton & Associates, LLC. Steven L. Thornton is the President and founder of Thornton & Associates, LLC. Our firm is a regulatory and compliance consulting firm that services FINRA member broker dealers across the United States. Prior to forming Thornton & Associates, Mr. Thornton worked as a securities examiner for the NASD/FINRA. He has over 15 years of regulatory and accounting experience and he believes that he may be a valuable asset to your radio program as a commentator or guest. He has a broad based knowledge of securities regulation and brokerage operations.

In the volatile markets that we face today, it may be important for your listeners to have access to someone who has a complete knowledge of SEC, FINRA, NYSE and state securities rules, regulations and statutes.

Some of the issues that he may be able to comment on are:

• SIPC and FDIC insurance
• SEC Uptick rules
• If and when you should change brokerage firms
• How will the regulators react to these radical shifts in the market
• What rights do investors have if they are hurt by their broker as a result in the drop in the market
• If you do have a complaint, how do you proceed
• What rules and regulations are in place to prevent these events
• General Q&A

Steve is regularly a speaker at dozens of compliance conferences and meetings. If you are interested in having Steve Thornton on your program, please feel free to contact me at (877) 542-6759 ext.100 or via e-mail at michael@thorntonandassociates.com. For more information about our company and Steve’s background, please visit our website at http://www.finraaudit.com.

Thank you and I look forward to speaking with you soon.

Michael S. Stevens
Administrative Assistant

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