BrokeAndBroker.com

Examining the Defense of Family Values and Unequal Pay for Women

08 30 2010 13:59:34

In the 1950s when women were still second-rate members of the American workforce -- when they were not earning equal pay for a day's work and the opportunities for advancement were still limited, a popular explanation for tolerating such discrimination was that women belonged at home raising familie... Read On

Visit Bill Singer's Website

Bill Singer is a securities industry attorney who advocates on behalf of small- and mid-sized broker-dealers, registered persons, whistleblowers, and defrauded public investors.

» Cases Of Note
» Statutory Disqualification
» Outside Private Transactions
» U4, U5 AND RE3
» Research & Advertising

Gross Abuse: PIPEs Hosing -- an update and conclusion

September 1, 2010

In February 2010, BrokeAndBroker reported on the Securities and Exchange Commission (SEC) case involving Axiom Capital Management, Inc., its former registered representative Gary J.Gross, and its former compliance officer David Siegel. See, "Gross A... Read On

Update Your Procedures: Summary of Some Recent Changes

08 05 2010 11:53:00.001

Summary of some changes during the first half of 2010. You'll want to be sure to update your procedures manuals (there were more changes than those listed here...read all your Notices!). 1. The Red Flags Rule will not be enforced until year-end 2010. If I provided you with an “Identity Theft ... Read On

Seven Financial Mistake You Can Make During Your Divorce

Mon, 02 Aug 2010 00:43:08 +0000

The seven worst financial mistakes you can make during your divorce. 1)� Making a major purchase - Perhaps a new house?� A new car?� These are purchases that may impact your situation negatively.� For example.� You are currently living in a $300,000 house.� You purchase a $200,000 house.� Kee... Read On

‘Office Space’ Meets ‘The Hurt Locker’

Thu, 02 Sep 2010 16:58 GMT

The war in Iraq may be over, but the war in customer service is not. Seems a while back, a soldier having trouble with his HP all-in-one printer called the company for help in fixing it. Things went downhill from there and it was all put on tape.... Read On

Barnes & Nobles Fighting on Two Fronts

Thu, 02 Sep 2010 20:10:06 +0000

Hedge fund manager versus retailing legend at the crossroads of the E-Book revolution. Killer stuff with big ramifications.... Read On

HELP WANTED: "Fund Czar" "Top Fund Cop" aka S.E.C. Director of Division of Investment Management

08 31 2010 12:32:00

Did you notice that last week the S.E.C. announced that Andrew "Buddy" Donohue - the agency's Director of the Division of Investment Management - will step down in November?As Chuck Jaffe, of MarketWatch noted in a recent column, the typical fund investor hasn't got a clue who Donohue is or what he ... Read On

Is greed still good?

Thu, 19 Aug 2010 07:38:15 -0600

A little over a year ago, I postulated on the the psychology behind today's economy. The old economy, I said, was personified in the classic “Greed is good” speech by Gordon Gekko as played by Michael Douglas in the 1987 Oliver Stone classic, Wall Street. Gekko returns in Stone's... Read On

Drilling for Trouble: 5 Ethical Considerations for Oil & Gas Companies Doing Business with Foreign Governments

Thu, 02 Sep 2010 16:25:06 +0000

This article by Matthew Reinhard of Miller & Chevalier will not only assist oil companies in ensuring compliance with anti-corruption laws and policies, but assist the compliance department in adding real business value to transactions. (This is only a summary of the article. Click on the ... Read On

Special Report: Phil Falcone’s riskiest trade ever?

Thu, 26 Aug 2010 12:08:55 +0000

NEW YORK/BOSTON (Reuters) – Investing with hedge fund manager Philip Falcone, who oversees about $8 billion at his Harbinger Capital Partners, has required an awfully strong stomach or a fistful of Dramamine. In 2007, Harbinger registered an astounding 116 percent gain, only to lose 22 per... Read On

SEC Teaparty nominated for LexisNexis Top 25 Business Blogs

08 31 2010 19:01:00.001

SEC Teaparty is honored to have been nominated by LexisNexis for their top 25 corporate and securities law blogs. If you wish to vote for your favorite blogs please use the following link. Vote here.... Read On

Upcoming Changes to Registered Investment Adviser Disclosures

08 31 2010 12:44:00.002

The SEC and the States have come out with their joint effort on the Final Rule for Registered Investment Advisers known as IA-3060. This final rule has a couple of clauses in it that will dictate more disclosures for both Registered Investment Adviser firms and their Investment Adviser Representativ... Read On

Iron Condors, Margin Efficiency, and Trading Small Accounts

09 03 2010 04:00:00

Note: The most interesting part of the discussion often occurs in the comments. If you find the post of interest, visit the blog to read the comments and join the conversation.Hello Mark,Thank you very much for taking time to respond to people’s questions and giving your experienced points of view... Read On

Copyright © 2009-2010 BrokeAndBroker.com - All Rights Reserved. Custom Web Design by BlueCharm.com
Third party Trademarks, graphics, and/or content are the property of their respective owners.
Advertise | Privacy Statement | Legal Notice