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by Bill Singer

BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

November 1, 2014

SEC Warns Against Investment In Dormant Shells
October 31, 2014
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
One Stockbroker's Four Away Accounts
October 31, 2014
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
Can A Granddaughter Marry Her Uncle?
October 30, 2014
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
An Elderly Client, The Stockbroker's Wife, And Gifts Or Loans
October 29, 2014
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
EMPLOYMENT TUESDAY at BrokeAndBroker.com
October 28, 2014
Stockbroker, Compliance, Legal, and Regulatory JobsEmployment Page BrokeAndBroker.com Jobs#wallstreetjobs @brokeandbrokerNOTICE TO EMPLOYERS... Read On
FINRA Getting Personal With Taxi And Meal Reimbursements
October 27, 2014
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

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