On June 3, 2013, the Securities and Exchange Commission ("SEC") announced the second-largest trading suspension in its history as part of its "Operati... Read On
For one reason or another, stockbrokers may not want to maintain their personal accounts at their employer's brokerage firm. Some of the reasons often... Read On
As with virtually every job, the practice of law often becomes mind-numbingly boring. Every so often, however, the profession presents you with a fasc...Read On
When it comes to in-house compliance and industry regulatory matters, a loan is a loan and a gift is a gift -- and the two have very different meaning... Read On
Stockbroker, Compliance, Legal, and Regulatory JobsEmployment Page BrokeAndBroker.com Jobs#wallstreetjobs @brokeandbrokerNOTICE TO EMPLOYERS... Read On
They got a name for it: padding the old expense account. The way I see it, whenever some misconduct has an acronym or generally accepted term, it mean... Read On
Federal Court Transmogrifies FINRA Into State Criminal Prosecutor (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4957/finra-dicken-state/In a ... Read On
Just for the hell of it, let's re-visit the issue of whether the Financial Industry Regulatory Authority ("FINRA") is a government agency -- even when... Read On
Some folks carry grudges. Some folks will get a wheelbarrow or pick-up truck to carry a grudge. No matter the time. No matter the weight. In a recent ... Read On
If you visit the homepage of Synapse Financial Technologies, Inc. https://synapsefi.com/, you learn that, in part, the company's mission appears ... Read On
A California Superior Court jury found investment advisor Michael Patrick Kelly guilty of false personation of another, unauthorized use of perso... Read On