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
CFTC Awards Largest Single Whistleblower Award of $200 Million But With One Commissioner's Dissent (BrokeAndBroker.com Blog)http://www.brokeandbroker.... Read On
The other day, we were informed of yet another "largest award" in the history of whistleblowing: CFTC Awards Nearly $200 Million to a Whistleblow... Read On
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/611... Read On
At a bare minimum, we have the right to expect sufficient content and context in a FINRA Arbitration Award so as to render the published document inte... Read On
In a recent federal case, Morgan Stanley raised a number of serious questions about a former employee, but those questions didn't help the firm win a ... 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