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)
9Cir Tames Sharemaster After Epic Battles With FINRA and SEC (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5318/sharemaster-feigenbaum-f... Read On
Come with me as we journey back in time some eleven years to December 2009, when FINRA member firm Sharemaster submitted its 2009 annual audit... Read On
[In]Securities a Guest Blog byAegis J. Frumento, Partner, Stern Tannenbaum & BellGood, Bad and Ugly"Alas, poor Yorick!" says Hamlet. "I knew ... Read On
A recent FINRA regulatory settlement shines a harsh light on problems involving the delicate interplay between investment banking and research. As mos... Read On
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/531... Read On
You work directly for a subsidiary but enter into an Employment/Non-Solicit Agreement with the parent. Things are fine until they're not. You leave. T... Read On