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by Bill Singer

BrokeAndBroker.com Blog by Bill Singer Week In Review

August 9, 2014

FINRA Arbitrators Punt When They Should Have Gone For It
August 8, 2014
Not a lot of folks are fans of FINRA arbitrations. I, for one, do not support mandatory public customer or mandatory intra-industry arbitration before... aRead On
Stockbroker Charged With Outside Business Activity In Advisory Services Deal
August 7, 2014
For some folks, "No" is a nuanced word that presents a challenge. What can I do . . . how can I get them to change that to "Yes"? For others, "No" see... Read On
Tax Liens Earn Stockbroker Disqualification
August 6, 2014
It happens. You run into financial difficulties, even if you're a stockbroker. Sometimes you can't catch up and you don't fully pay your taxes. The IR... Read On
SEC Commissioner Gallagher Advocates Right To Die On Wall Street
August 6, 2014
In keeping with the overall degeneration of collegiality in politics and the Supreme Court, for the past several years that trend has expanded to the ... Read On
EMPLOYMENT TUESDAY at BrokeAndBroker.com
August 5, 2014
Stockbroker, Compliance, Legal, and Regulatory JobsEmployment Page BrokeAndBroker.com Jobs#wallstreetjobs @brokeandbrokerNOTICE TO EMPLOYERS... Read On
JP Morgan Customers Get Two Tickets To Paradise
August 4, 2014
In July 2007, Jeffrey B. McDonald and his wife Shelli A. McDonald opened an investment account with J.P. Morgan Chase Bank (the "Bank") and its affili...Read On

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