A personal message from Bill Singer, Publisher of the BrokeAndBroker.com Blog:
With Stephen Kohn and Jim Webb, the FINRA Small Firm community now has two superb candidates for the 2017 FINRA Small Firm Governor seat.
Get to know your candidates.
Make your vote and voice count!
"Join The Battle To Reform Wall Street Regulation" (BrokeAndBroker.com Blog, June 2, 2017)
SEC Chairman Jay Clayton: The Devil We Know Champions Main Street (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4045/sec-clayton-congress/Lik... Read On
Testimony on “Oversight of the U.S. Securities and Exchange Commission” by SEC Chairman Jay Clayton (Before the Committee on Financial Services U.S. H... Read On
The Raymond J. Lucia Companies Inc. was registered with the Securities and Exchange Commission as an investment adviser from September 2002 through De... Read On
In today's BrokeAndBroker.com Blog we consider a compelling FINRA regulatory settlement involving a member firm's deficient written supervisory proced... Read On
This morning the Dow Futures were down about 400 points. Looks like another fun day on Wall Street. I take it all in stride -- a somewhat slower, more... Read On
The Human Factor On Wall Street (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4022/wall-street-human-factor/"A Former NASD Employee" shoves o... Read On