Veteran Wall Street attorney and publisher of the BrokeAndBroker.com Blog, Bill Singer, hosted the seven-episode video series Case-in-Point,which concluded its run 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.
I'm told that Wall Street is a highly regulated place although I'm not quite sure just what constitutes Wall Street these days. The old Financial Dist... Read On
Sometimes you're wrong. Frankly, we're all wrong sometimes. In a recent FINRA arbitration, we have a registered representative who was wrong. To his c... Read On
In a FINRA Arbitration Statement of Claim filed in August 2021, associated person Claimant Entwistle sought an expungement of information about a sett... Read On
Troubling FINRA Regulatory Case: Quis custodiet ipsos custodes? (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/6097/finra-glendale/Today's Bro... Read On