Veteran Wall Street attorney and publisher of the BrokeAndBroker.com Blog, Bill Singer, hosted the seven-episode video series Case-in-Point, which concluded on November 24, 2015. Below find the array of interviews touching on topics from the birth of the volatility index to the survival of smaller broker-dealers to hot-button regulatory/compliance issues.
Presented in today's BrokeAndBroker.com Blog is a dispute in which two former Citigroup Global Markets customers sued the brokerage firm for trades th... Read On
Readers of the BrokeAndBroker.com Blog are invited to visit the daily Securities Industry Commentator feed published by Wall Street veteran lawyer Bil... Read On
A Tale of Two Tables By Aegis J. Frumento, Partner, Stern Tannenbaum & BellTen years ago this week, Lehman Bros. went bankrupt. Lehman was no... Read On
The SEC isn't ready to make nice with a whistleblower who was tardy. Turns out, the SEC is a very punctual place. They keep time. Meticulously. A cyni... Read On
Deutsche Bank Securities Hit With $2 Million Award In FINRA Expungement Case (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4178/deutsche... Read On
Today's BrokeAndBroker.com Blog presents two Deutsche Bank Securities registered representatives with decades of industry employment. In a FINRA ... Read On
How the SEC Would Run (and Ruin) Your FirmBy Aegis J. Frumento, Partner, Stern Tannenbaum & Bell Sometimes -- often, actually -- securities regula... Read On