I often urge clients contemplating a new business to first consider what I call the "Dreaded Ds," which are Death, Disability, Disqualification a... Read On
Much of life is unfair. Sometimes life can also be un-fare -- as when you stiff the cab driver. Then again, sometimes those drivers are over-charging ... Read On
FINRA Bogarts the Weed In Medical Marijuana SettlementApril 20, 2018Another day and another idiotic Outside Business Activities Rule regulat... Read On
Another day and another idiotic Outside Business Activities Rule regulatory settlement between the Financial Industry Regulatory Authority a... Read On
Not being particularly fond of the times that I live in, I am a student of Ancient Greek and Ancient Roman history. In presenting today's BrokeAndBrok... Read On
I'm not sure whether it's fact or fiction, but I've heard that in Iran and China there's a "bullet fee," which is a bill sent by the government to the... Read On
Today's BrokeAndBroker.com Blog considers the lawsuit of a registered rep who handled his own expungement arbitration against his former employer J.P.... Read On