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 Complaining Customer Is Dead, The File Is Lost, But A Stockbroker Battles On for Expungement (BrokeAndBroker.com Blog)http://www.brokeandbrok... Read On
In today's featured FINRA expungement arbitration, we praise the impressive effort of a lone FINRA arbitrator, who patiently and intelligently explain... Read On
We raise the curtain on a husband and wife headed for divorce. He is a stockbroker. She is a customer. She is not an actual customer. She is not ... Read On
On Wall Street, the majority of employment disputes tend to get resolved in favor of employers. Some of that may be prompted by the Terminable-at-Will... Read On
Under consideration today is a troubling FINRA regulatory settlement involving two deceased customers, their stockbroker, and a whole host of developm... Read On