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
[In]Securities a Guest Blog byAegis J. Frumento, Partner, Stern Tannenbaum & BellBlinded by the LightThe Tampa Bay Rays just reported for spr... Read On
Upon first glance, today's featured litigation seems little more than a garden-variety torts case. In August 2018, Plaintiff Pagliara sued Defendants ... Read On
In today's featured FINRA regulatory settlement, we come across the case of a Merrill Lynch employee who signed off on agreements without apparent aut... Read On
Wells Fargo & Company and its subsidiary, Wells Fargo Bank, N.A., agreed to pay $3 billion to resolve their potential criminal and civil liability... Read On
[In]Securities Guest Blog: Something Built to Last by Aegis Frumento Esq (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5075/aegis-frumen... Read On
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/507... Read On
[In]Securities a Guest Blog byAegis J. Frumento, Partner, Stern Tannenbaum & BellSomething Built to LastA few years back I received a gift of... Read On