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.
As with so many things in life and regulation, this one is all about nuance. We have a largely unsympathetic respondent, who does not seem to have had... Read On
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/544... Read On
Federal Court Affirms Federal Jurisdiction in FINRA Arbitration Appeal (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5437/badgerow-ameriprise... Read On
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/543... Read On
It started as a FINRA arbitration in which an associated person alleged that she was fired in retaliation for reporting misconduct. Among her claims, ... Read On