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
FINRA Arbitration Has More In and Out Than A Porn Film (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5244/finra arbitration best/Trailing in ... Read On
In a recent FINRA arbitration, the public customer didn't exactly go above and beyond in terms of timely pressing his case. The case caption started w... Read On
[In]Securities a Guest Blog byAegis J. Frumento, Partner, Stern Tannenbaum & BellThe End of the LineColonial Williamsburg began to reopen las... Read On
Jeremy Siegel is the Russell E. Palmer Professor of Finance at the Wharton School of the University of Pennsylvania. He has a PhD. I don't know jack a... Read On
Sometimes a mess is indeed a mess. Former Legend Capital reps Cecchini and Oppedisano retired from that firm way back in 2001. They went out to pastur... Read On