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
The FINRA Dissident Community: A History (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4765/bill-singer-finra-dissident/On August 19, 2019, F... Read On
If it wasn't for stupidity, lawyers would have nothing to do for a living. Take today's featured FINRA regulatory settlement. We got a Wall Street vet... Read On
In a recent regulatory settlement, FINRA told Lime Brokerage to put the lime in the coconut and shake it all up. Well, okay, maybe that's not exactly ... Read On
PERSONAL STATEMENT by BILL SINGER, Publisher of the BrokeAndBroker.com Blog and Securities Industry Commentator:FINRA Small Member Firm Peti... Read On
After many years of employment at Wells Fargo, two reps decided to join another firm. Hey, it happens. The new employer offered a substantial upfront ... Read On