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
You may have read about the "record" $920 million DOJ, SEC, CFTC settlement on September 29, 2020, for spoofing and manipulation involving JPMorgan Ch... Read On
[In]Securities Guest Blog: A Different Kind of Truth By Aegis Frumento Esq (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5500/insecurities-ae... Read On
[In]Securities a Guest Blog byAegis J. Frumento, Partner, Stern Tannenbaum & BellA Different Kind of TruthNotre Dame Law School advertise... Read On
Since 2015, the BrokeAndBroker.com Blog has reported about developments in an ongoing lawsuit involving allegations of defamation by Plaintiff Brummer... Read On
The other day, our publisher Bill Singer had one of those moments when he read a recent FINRA regulatory settlement. It wasn't that Bill disagreed wit... Read On
BREAKING STORY: United States of America, et al., Plaintiffs, v. Google LLC., Defendant (Complaint, United States District Court for the District of C... Read On
Stockbroker and investment advisor Leon C. Vaccarelli got into the ring with the United States Government and thought he could go the distance against... Read On