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
On March 29, 2020, Congress enact the Coronavirus Aid, Relief and Economic Security ("CARES") Act in order to provide emergency financial assistance d... Read On
Notwithstanding that I'm a lawyer, I'm still puzzled when I see a contract that proscribes "any and all" conduct of a particular nature. What the hell... Read On
The Financial Industry Regulatory Authority just published its "2020 FINRA Industry Snapshot," which purports to provide an industry overview "ranging... Read On
LAST CHANCE: VOTE FOR STEPHEN KOHN for 2020 FINRA Small Firm Governor (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5351/stephen-kohn-fi... Read On
VOTE FOR STEPHEN KOHN for 2020 FINRA Small Firm GovernorOn August 7, 2020, the Financial Industry Regulatory Authority ("FINRA") will conduct its annu... Read On
[In]Securities a Guest Blog byAegis J. Frumento, Partner, Stern Tannenbaum & BellOut of Touch, Out of LuckThis week, for a change, letís talk... Read On
Way back when, when I was a kid, I used to watch the television show "Dragnet." In those black-and-white days with cigarette commercials and cereal lo... Read On