US Attorney Preet Bharara racks up a major settlement with Deutsche Bank involving HUD fraud -- maybe SEC Enforcement Director Khuzami could learn some lessons (as in Citigroup)? Read Bill Singer's in-depth analysis and blistering commentary.
How good is your Seinfeld trivia? For starters, you remember Brody? See that storyline come to life in a criminal case.
Here we go again. Another VA case ends badly -- this time with punies.
The BrokeAndBroker.com Blog's publisher, Bill Singer, Esq., often criticizes the Financial Industry Regulatory Authority for what he calls a lack of "... Read On
The BrokeAndBroker.com Blog has frequently covered stories involving spoofed emails that are sent to banks and brokerage firms. Sometimes the recipien... Read On
A FINRA regulatory settlement presents the case of a CEO, CCO, and FINOP who was fined and suspended for classifying his personal expenses and busines... Read On
RIP Malcolm Young of AC/DCClever Stipulation In FINRA Expungement Arbitration http://www.brokeandbroker.com/3675/finra-expungement-arbitration/Be... Read On
Before you initiate a FINRA expungement arbitration based upon alleged defamation, carefully -- and I mean very, very carefully -- consider that you... Read On
In a recent FINRA Acceptance, Waiver & Consent ("AWC") regulatory settlement, a registered person is barred after voluntarily resigning . If you r... Read On