Thursday, June 7 at 6:30 pm
1220 Fifth Avenue at 103rd Street
New York City
After the financial collapse in 2008 and the ongoing scrutiny of their investing practices, Wall Street and New York's banking and financial industries are at a pivot point.
Join a panel of Wall Street analysts and observers:
Presented in conjunction with the Museum's exhibition Capital of Capital: New York's Banks and the Creation of a Global Economy, on view through October 21. Capital of Capital will be open between 6 and 6:30 pm for program registrants to visit.
Customer Complaints and Away Settlements -- Matters of Interpretation? (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5788/finra-complaint-set... Read On
A lot of what passes for misconduct on Wall Street is a matter of interpretation. You say that you did or didn't do something. Your firm's compliance ... Read On
Yet again, I say. Yet again. Wall Street's lackluster regulatory scheme fails to proactively detect an oncoming tsunami, and the markets get flooded. ... Read On
Over a decade ago, when the stock markets were cratering in the wake of the Great Recession, investors saw their pre-2009 gains vanish. Lots of black ... Read On
At its best, remorse demonstrates a pang of conscience. At its worst, it may arise only in anticipation that you are about to get caught. Contrition a... Read On
If your brokerage firm decides that a customer "communication" was a complaint, the drafting of a regulatory disclosure often involves a lot of interp... Read On
Guest Blog: Considering Breaking Away from a Wirehouse? / The Pros and Cons of Going Independent by Michael King of Michael King Associates (BrokeAndB... Read On