The Federal Bureau of Investigation ("FBI") recently advised the public of the online availability of The Vault, which is described as "our new electronic reading room, containing more than 3,000 documents that have been scanned from paper into digital copies . . ." You won't believe what Bill Singer has uncovered.
On one side of today's featured FINRA customer arbitration we got an ex-wife. On the other side, we got the ex-husband and what looks like two brokera... Read On
The other day I read "TD Ameritrade Closes Acquisition of Scottrade Financial Services, Inc." (TDAmeritrade Press Release, September 18, 2017), which ... Read On
Among the most frustrating aspects of practicing law is when you have a client who has been wronged, terribly wronged, but it's just too late to do ... Read On
Two public customers were angered by the misconduct of their servicing stockbroker and what they perceived to be the negligent oversight of his empl... Read On
I often say that if it wasn't for stupidity, I would have nothing to do as a lawyer. Thankfully, there's more than enough stupidity to go around to fu... Read On
RIA Cherry Picking Case Rings Alarm (Anyone Listening?) http://www.brokeandbroker.com/3591/sec-cherry-picking/You live in an expensive condo apar... Read On
You live in an expensive condo apartment building. They put in smoke alarms. They put in fire alarms. They got a full-time guy on duty 24/7 just to wa... Read On