October 20, 2015: Bill Singer speaks with Gusrae Kaplan Nusbaum law firm Corporate Finance Partner Lawrence G. Nusbaum III, on the return of corporate finance, IPOs and a new surge of debt deals from small and mid-cap companies on Wall Street. Nusbaum shares his thoughts on which financial services firms get hurt the most in an increased regulatory environment, whether a small broker-dealer can float a $5 to $20 million deal today, and why brokers need to be aware of the rules when it comes to being a "finder," or connecting investors with companies looking for capital. WATCH
Today's article updates the BrokeAndBroker.com Blog's ongoing coverage of the plight of Richard S. Botkin, a 15-year Marine Corps veteran and a regist... Read On
On August 22, 2017, the Financial Industry Regulatory Authority ("FINRA") will conduct its annual meeting, at which time the self-regulatory organizat... Read On
A FINRA JP Morgan Arbitration,Jamie Dimon's Embarrassment And Bill Singer's Apoplexy http://www.brokeandbroker.com/3533/finra-arbitration-u5/Brok... Read On
BrokeAndBroker.com Blog publisher Bill Singer, Esq. lives and works in New York City. The Big Apple has become the Baked Apple the last few days as it... Read On
The roughly 75 million Millennials recently passed the number of Baby Boomers with Generation Xers projected to exceed the latter's numbers sometime i... Read On
In the 2000s, Anthony Allen and Anthony Conti, United Kingdom citizens, were employees in the London office of
Cooperatieve Centrale Raiffeisen‐... Read On
In a recent FINRA regulatory settlement, we come across the plight of a FINOP who couldn't resist billing his firm for about 20 months worth of meals,... Read On
It's been hot in New York City the last several days and, well, you know, prominent industry lawyer Bill Singer has been sent into a paroxysm over the... Read On
