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Got Something to Say About Investing or Regulating Wall Street? Great!!!! BrokeAndBroker.com is the place to say it. Let us know about your blog or website and we'll consider featuring it on BrokeAndBroker.com. Contact us at rrbdlawyer@aol.com.
In the 1950s when women were still second-rate members of the American workforce -- when they were not earning equal pay for a day's work and the opportunities for advancement were still limited, a popular explanation for tolerating such discrimination was that women belonged at home raising familie... Read On
Bill Singer is a securities industry attorney who advocates on behalf of small- and mid-sized broker-dealers, registered persons, whistleblowers, and defrauded public investors.
In February 2010, BrokeAndBroker reported on the Securities and Exchange Commission (SEC) case involving Axiom Capital Management, Inc., its former registered representative Gary J.Gross, and its former compliance officer David Siegel. See, "Gross A... Read On
Broker Dealer Place, Inc. your one-stop securities industry resource. Our company facilitates the buying and selling of broker dealers, RIA’s, and Assets. BD University is our on-line Continuing Education and Pre-licensing solution for the financial industry. VIP Place is a free securities social network exclusively for registered professionals.
CFR Associates provides broker dealers, investment advisers and hedge fund managers with the services needed to support compliance. Founded in 2002 to fill the; compliance, AML, Internal Audit, Special Projects and Financial Principal needs of small and medium size firms.
The war in Iraq may be over, but the war in customer service is not. Seems a while back, a soldier having trouble with his HP all-in-one printer called the company for help in fixing it. Things went downhill from there and it was all put on tape.... Read On
Summary of some changes during the first half of 2010. You'll want to be sure to update your procedures manuals (there were more changes than those listed here...read all your Notices!). 1. The Red Flags Rule will not be enforced until year-end 2010. If I provided you with an “Identity Theft ... Read On
Hedge fund manager versus retailing legend at the crossroads of the E-Book revolution. Killer stuff with big ramifications.... Read On
An algorithmic hedging tool for stocks and ETFs: Insure your stock and ETF investments against market downturns as well as company - and sector specific risk with put options. Enter your stock and ETF holdings, and the maximum downside risk you are willing to accept for each holding. Then, using its proprietary algorithm, Portfolio Armor shows you the optimal put options to buy to obtain the level of protection you want.
We view each client relationship from a long-term perspective. The initial interview and portfolio design, while important, are a small part of a much bigger picture. The real value we bring to clients is the constant monitoring of accounts and the ability to offer insight and advice regarding all aspects of their financial affairs through the various stages of their lives.
This article by Matthew Reinhard of Miller & Chevalier will not only assist oil companies in ensuring compliance with anti-corruption laws and policies, but assist the compliance department in adding real business value to transactions.
(This is only a summary of the article. Click on the ... Read On
Screen for stocks predicted to go bankrupt by their Altman Z-Scores with the Short Screen screener.
See if a specific stock is at risk of bankruptcy with the Short Screen calculator.
Share short selling ideas with other savvy investors using the Short Screen message boards.
The SEC and the States have come out with their joint effort on the Final Rule for Registered Investment Advisers known as IA-3060. This final rule has a couple of clauses in it that will dictate more disclosures for both Registered Investment Adviser firms and their Investment Adviser Representativ... Read On
Institutional Agency Execution and Trade Analytics
As an independent Broker-Dealer / Investment Advisory, we pride ourselves on specializing in alternative investments including managed futures - many of these programs historically and significantly outperformed traditional investment sectors regardless of current economic conditions. Opportunities available for brokers who are interested in being truly independent while offering diversity.
A little over a year ago, I postulated on the the psychology behind today's economy.
The old economy, I said, was personified in the classic “Greed is good” speech by Gordon Gekko as played by Michael Douglas in the 1987 Oliver Stone classic, Wall Street.
Gekko returns in Stone's... Read On
Former hedge fund manager Shah Gilani predicted the market crash and the subprime crisis. Now, he's making his boldest predictions yet... predictions harnessing the power of capital waves. In his latest video, find out how Shah tracks massive money moves in his new investment research service, The Capital Wave Forecast. Watch the video now.
Advisor Placement Group specializes in independent broker/dealer and RIA transitions. Our goal is to assume the due diligence and negotiations with potential independent firms, so that financial advisors can keep their focus on their business and clients. We are independent; we are not tied to any particular story or firm, allowing us to serve as the Advocate of the Advisor.
Note: The most interesting part of the discussion often occurs in the comments. If you find the post of interest, visit the blog to read the comments and join the conversation.Hello Mark,Thank you very much for taking time to respond to people’s questions and giving your experienced points of view... Read On
Did you notice that last week the S.E.C. announced that Andrew "Buddy" Donohue - the agency's Director of the Division of Investment Management - will step down in November?As Chuck Jaffe, of MarketWatch noted in a recent column, the typical fund investor hasn't got a clue who Donohue is or what he ... Read On