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
Opioid Addiction on Wall Street: A Wells Fargo Employee Is Barred (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4593/FINRA-Opioid-Drugs/Today... Read On
Today's featured FINRA regulatory case is about a Wells Fargo employee who was charged with converting funds from his employer and failing to fully co... Read On
. . . and I Feel Fineby Aegis J. Frumento, Partner, Stern Tannenbaum & BellLonger ago than I like to remember, I enrolled in Harvard's i... Read On
Our publisher Bill Singer finds himself in the unusual and uncomfortable position of questioning a FINRA Arbitrator's expungement recommendation. As B... Read On
In a recent regulatory settlement, FINRA barred a former registered representative, who had become a nonregistered, associated person. Yeah, a nonregi... Read On
It's a rare thing when our publisher Bill Singer, Esq. is left speechless. Mark your calendar. Today, Bill is left in a state of stunned silence by a ... Read On
5 OBAs, 2 PSTs, $15,000 Fine and 10 Month Suspension in 1 FINRA AWC (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4581/FINRA-OBA-PST/Wall Str... Read On