When is a deadline not a deadline? Oh, when it involves Dodd-Frank, the SEC, and the Wells Notice process. If you're frustrated and angry with the double-speak of bureaucracy, you're gonna have a love-hate relationship with this column!
Welcome to the morass of FINRA U4 criminal events disclosure.
Chalk one up for the little guy.
Sex. Drugs. Rock 'n Roll. Keith Richards. And Dinosaur Theft!
A case worth prosecuting.
Frequent readers of the BrokeAndBroker.com Blog know that our publisher Bill Singer, Esq. is a long-suffering critic of FINRA Arbitration. In particul... Read On
Imagine we got six customers with eight brokerage accounts. Now, imagine that for some four years we got a stockbroker who engages in 1,290 purportedl... Read On
When things fall apart on Wall Street, they can get nasty. In a recent example, we have a dipsute about a Branch Office Agreement, which prompts, in p... Read On
In granting certiorari, the United States Supreme Court in CYAN, INC. v. BEAVER COUNTY EMPLOYEES RETIREMENT FUND set the Question... Read On
It's one of the most common questions asked of industry lawyers when approached by an angry former employee looking to sue the former employer firm: C... Read On
For those of you tired of our dashing and effervescent publisher Bill Singer, Esq.'s pithy musings and brilliant insights in the BrokeAndBroker.com B... Read On
Everything is good until it's not. Particularly when it comes to an employee's decision to move on to a competitor. Once we add "former" to an employe... Read On