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by Bill Singer

BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

October 18, 2014

Athena No Goddess Says SEC in HFT Settlement
October 17, 2014
In an effort to cultivate an orderly daily closing, ten minutes before the close at 3:50:00 p.m., NASDAQ releases a Net Order Imbalance Indicator, whi...Read On
Commissioner Piwowar Challenges SEC To Be Fair And Effective
October 17, 2014
The Blog Story Mark Cuban ReTweeted!: Securities and Exchange Commission ("SEC") Commissioner Michael S. Piwowar and his often like-minded colleague, Commissioner Daniel Gallagher, are the...Read On
Wells Fargo Compliance Consultant Charged By SEC In Altered Inside Information Review
October 16, 2014
On October 15, 2014, the Securities and Exchange Commission ("SEC") filed an Order Instituting an Administrative Proceeding ("OIP") against "Complianc... Read On
Spanish Doubloons, Spanish Realty, and US Prison
October 15, 2014
You should be thrilled to learn that the venerable Lloyds & Associates Management Ltd. is involved in this deal that I'm going to pitch to you. Yo... Read On
EMPLOYMENT TUESDAY at BrokeAndBroker.com
October 14, 2014
Stockbroker, Compliance, Legal, and Regulatory JobsEmployment Page BrokeAndBroker.com Jobs#wallstreetjobs @brokeandbrokerNOTICE TO EMPLOYERS... Read On
Court Slams North American Clearing SIPC Trustee
October 13, 2014
It is the zombie that will not die. North American Clearing and Richard Goble continue to seek revenge. After having taken a bite out of the Securitie... Read On

FINRA SOUTH REGION SMALL FIRM ADVISORY BOARD ("SFAB") ELECTION: FINRA small firm members in the South Region have three candidates available for election to the SFAB by Friday, November 14, 2014.  Of the three nominees, I wholeheartedly endorse Carrie Wisiniewski, President, Bridge Capital Associates, Inc. and urge all eligible firms to vote for her.  Bill Singer

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