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by Bill Singer
by Bill Singer
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Previous Entries
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BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
August 19, 2017
Negligent Market Manipulation In OTC Stock Promotion http://www.brokeandbroker.com/3561/finra-otc-manipulation/I concede that much of the content... Read On
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IN MEMORIAM Viginia, Spain, and Finland
August 19, 2017
In MemoriamCharlottesville, VirginiaBarcelona, SpainCambrils, SpainTurku, FinlandTruly, I have nothing to say. And even if I did, what can I say that ... Read On
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Negligent Market Manipulation In OTC Stock Promotion
August 18, 2017
[T]he majority of these purchases were based on communications he had with a stock promoter. During this time period, Peltier was in near-daily contac... Read On
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A Stockbroker, Her LLC, And Her Customers' Loans (Or Investment?)
August 17, 2017
Today's BrokeAndBroker.com Blog is akin to the Sunday crossword puzzle. There are some killer questions and arcane references and that word "Polish," ... Read On
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7th Circuit Affirms Spoofing Conviction
August 16, 2017
In 2014, Michael Coscia, the manager and sole owner of Panther Energy Trading LLC, was indicted by a federal Grand Jury for his alleged $1.4 million s... Read On
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VOTE FOR STEPHEN KOHN for 2017 FINRA Small Firm Governor
August 16, 2017
On August 22, 2017, the Financial Industry Regulatory Authority ("FINRA") will conduct its annual meeting, at which time the self-regulatory organizat... Read On
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SG Americas Employee Wins (Sort Of) FINRA Employment Arbitration
August 15, 2017
You just watched a 12-round world heavyweight boxing match. It went the distance. You could argue that either fighter won -- it was that close. The ri... Read On
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Childbirth and Medical Emergency Impact FINRA Arbitration
August 14, 2017
In a recent FINRA arbitration, a former J.P. Morgan Securities associated person sought over $800,000 in damages from the alleged damages to his book ... Read On
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