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)
The BrokeAndBroker.com Blog's publisher, Bill Singer, Esq., often criticizes the Financial Industry Regulatory Authority for what he calls a lack of "... Read On
The BrokeAndBroker.com Blog has frequently covered stories involving spoofed emails that are sent to banks and brokerage firms. Sometimes the recipien... Read On
A FINRA regulatory settlement presents the case of a CEO, CCO, and FINOP who was fined and suspended for classifying his personal expenses and busines... Read On
RIP Malcolm Young of AC/DCClever Stipulation In FINRA Expungement Arbitration http://www.brokeandbroker.com/3675/finra-expungement-arbitration/Be... Read On
Before you initiate a FINRA expungement arbitration based upon alleged defamation, carefully -- and I mean very, very carefully -- consider that you... Read On
In a recent FINRA Acceptance, Waiver & Consent ("AWC") regulatory settlement, a registered person is barred after voluntarily resigning . If you r... Read On
Many laws, rules, and regulations were apparently drafted by folks with a warped sense of humor and a penchant for irony. I say that because much of w... Read On