An irreverent Wall Street Blog
by Bill Singer
by Bill Singer
EMPLOYMENT TUESDAY at BrokeAndBroker.com
Written: January 1, 2013
EMPLOYMENT TUESDAY AT BROKEANDBROKER.COM
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Previous Entries
March 3, 2015
A potential graveyard for whistleblower claimants under Dodd Frank is 17 CFR 240.21F-4(b)(4). As set forth in the Rule, officers, directors, trus... Read On
March 3, 2015
Stockbroker, Compliance, Legal, and Regulatory JobsEmployment Page BrokeAndBroker.com Jobs#wallstreetjobs @brokeandbrokerNOTICE TO EMPLOYERS... Read On
March 2, 2015
Few queries get my blood more agitated than those in which a client asks my thoughts about the potential acquisition of a so-called Shell Company as p... Read On
March 2, 2015
An opportunity presents itself for you to get involved in some business deal outside of your broker-dealer. The way you see it, your role won't ... Read On
February 28, 2015
After Credit Card Expense Suspension, Stockbroker Barred By Liens And JudgmentsIf you were lucky to dodge a regulatory bullet, don't count on your def... Read On
February 27, 2015
If you were lucky to dodge a regulatory bullet, don't count on your deft footwork to bail you out a second time. In a recent FINRA regulatory se... Read On
February 26, 2015
Sometimes a cigar is a cigar. Sometimes a fish is a fish -- or a grouper. Sometimes, however, federal prosecutors would have you believe that a fish i... Read On
February 25, 2015
In some ways, this disaster
started out admirably with a registered representative father trying to find a
way to leave his book of business for his... Read On
February 24, 2015
Stockbroker, Compliance, Legal, and Regulatory JobsEmployment Page BrokeAndBroker.com Jobs#wallstreetjobs @brokeandbrokerNOTICE TO EMPLOYERS... Read On
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