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.
Wall Street's customers have every right to expect -- to demand -- that their personal information is not freely bartered to the highest bidder. Expec... Read On
If a customer complaint is not filed by a customer, is it a customer complaint? If a brokerage firm discloses in regulatory filings that a stockbroker... Read On
A Stroll Down Wall Street's Fetid Memory Lane of Disparate Regulation(BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5523/jpm-occ-finra-sec/Who... Read On
On November 24, 2020, the Office of Currency Control ("OCC") imposed a $250 million civil monetary penalty against JPMorgan Chase Bank, N.A. Although ... Read On