Bill Singer has posted two provocative
Street Sweeper blogs.
Don't miss them!
Wall Street professionals will find today's column of particular interest as it explores the ever-thorny issues of what constitutes an inappropriate "solicitation" of clients after you've left an employer. In that context, you will read about Temporary Restraining Orders, Permanent Injunctions, and what the burden of proof is to prevail against former employees. A must read for all registered persons: WaMu Loses Solicitation Case Against Former Brokers
Don't forget to read and pass on to your colleagues, Bill's red-hot commentary responding to SEC Chair Schapiro's call for more staff and more funding. It's time that someone finally stood their ground and stood up against the burgeoning mess of runaway regulatory bureaucracy. Read: Break Up the Securities and Exchange Commission
A recurring theme in the BrokeAndBroker.com Blog is the manner in which seemingly sensible, reasonable, and intelligent settlements of disputes just d... Read On
The Million Dollar BottleBy Aegis J. Frumento, Partner, Stern Tannenbaum & BellI reflexively thought of the movie Crazy Rich Asians when I read la... Read On
Sometimes the majesty and detail of a scam or fraud is really, really impressive. Most of the time, however, it's all a dumbass variation on a theme t... Read On
On October 15, 2018, Christopher M. Tanner was sentenced in the United States District Court for the Southern District of Alabama to 18 months in pris... Read On
You wouldn't think that Wall Street would want to cultivate an in-house compliance protocol of "Don't Ask, Don't Tell," but a recent FINRA arbitration... Read On
Customer Seeks $2 Million In Puerto Rico Bond Arbitration (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4224/finra-puerto-rico-bonds/If you'v... Read On
If you've been following Puerto Rico's financial crisis, you know that the Commonwealth's bonds are worth about the paper that they were printed on... Read On