Watch on Reuters Insider the premiere episode of "SIDE BAR WITH BILL SINGER." Veteran Wall Street regulatory lawyer Bill Singer hosts three episodes of this new program.
Stockbroker and investment advisor Leon C. Vaccarelli got into the ring with the United States Government and thought he could go the distance against... Read On
FINRA's Board Unimaginatively Responds to Existential Crisis By Raising Fees (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5486/finra-rule-pr... Read On
From my perspective, FINRA is an inept and frequently ineffective regulator, which I have long characterized as the lap dog of its larger member firms... Read On
In today's featured FINRA regulatory settlement, we come across yet another in a seemingly endless line of so-called Outside Business Activities ("OBA... Read On