An irreverent Wall Street Blog
by Bill Singer
by Bill Singer
EMPLOYMENT TUESDAY at BROKEANDBROKER.com
Written: October 29, 2012
EMPLOYMENT TUESDAY AT BROKEANDBROKER.COM
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Previous Entries
June 19, 2013
These days, you just never quite know who you are dealing with online. Email, instant messaging, social media -- sure, their "handle" or address... Read On
June 19, 2013
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or de... Read On
June 18, 2013
Maybe they gotta rethink the whole idea about having one person working at both a brokerage firm and its banking affiliate. If you go by some recent c... Read On
June 18, 2013
EMPLOYMENT TUESDAY AT BROKEANDBROKER.COMStockbroker, Compliance, Legal, and Regulatory JobsVisit the BrokeAndBroker Employment Page BrokeAnd... Read On
June 17, 2013
On the morning of December 18, 1992, two brothers were shot and killed in their Houston, TX, home. There were no witnesses to the murders, but a neigh... Read On
June 17, 2013
On October 26, 2011, the Securities and Exchange Commission ("SEC") filed a Complaint in SEC v. Andrey C. Hicks and Locust Offshore Management, L... Read On
June 16, 2013
On June 11, 2013, Dan Jamieson of InvestmentNews appears to have broken the story that the Financial Industry Regulatory Authority's ("FINRA's") Distr... Read On
June 14, 2013
What happens when you mix Wall Street and politics, and add to that volatile mix an elderly individual? All that I can tell you is that it's not a pre... Read On
June 14, 2013
The way things have devolved on Wall Street, we pretty much have come to accept that a lot of industry professional steal from their public customers.... Read On
June 13, 2013
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or de... Read On
June 13, 2013
You got your brokerage customer with a will and/or a trust. You got your customer's stockbroker, who becomes an executor, a trustee, or a beneficiary.... Read On
June 12, 2013
In September 2007, the Financial Industry Regulatory Authority, Inc. (“FINRA”) (the successor to the National Association of Securities Dealers (“NASD... Read On
June 12, 2013
Sometime around April 2010 through September 2011, Janamjot Singh Sodhi, aka Jimmy Singh fraudulently solicited investments through a firm he owned (E... Read On
June 12, 2013
At first blush, it was a relatively modest business. Initially, it was thought that from February 2004 to April 2008, Naveed Sheikh made over $265,000... Read On
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