BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

July 12, 2014

A fiery regulator with a speed of light. A cloud of dust. And a hearty Hi Yo FINRA! Come back with me to the days of old as a FINRA posse blazes acros...Read On
Continuing Education -- or as it's known in the biz "CE" -- continues to bedevil the men and women charged with taking the damn courses and the online... Read On
Today's BrokeAndBroker.com Blog offering is based upon a truly superb FINRA Office of Hearing Officers ("OHO") Decision -- and, yes, that's ... Read On
Stockbroker, Compliance, Legal, and Regulatory JobsEmployment Page BrokeAndBroker.com #wallstreetjobs @brokeandbrokerNOTICE TO EMPLOYERS... Read On
For some industry veterans, leaving a brokerage firm is often easier said than done. At times, the attempt to say bye-bye seems the living embodiment ... Read On