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
[In]Securities a Guest Blog byAegis J. Frumento, Partner, Stern Tannenbaum & BellWho'll Be Watching Whom?"I can only warn people," Mich... Read On
An interesting aspect of a recent SEC Order is its treatment of the information provided by multiple Claimants as constituting the conduct of a s... Read On
Fourteen-year veteran New York Life employee Ketler Bosse was the company's first African-American District Agent. Following his 2016 termination, he&... Read On
FINRA Addresses Light Bulb and Coffee Cake Abuses(BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4909/finra-beneficiary-bequest/As the old "lig... Read On