The Securities and Exchange Commission recently tackled some thorny issues involving independent contractors, their use of electronic business communications, and their broker-dealers' responsibility to archive and subsequently produce such communications.
READ BILL SINGER'S ANALYSIS OF THIS IMPORTANT CASE AThttp://registeredrep.com/advisorland/compliance/finance_message_medium/index.html/
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[In]Securitiesa Guest Blog byAegis J. Frumento, Partner, Stern Tannenbaum & BellHit the Road, Jack"Oh, East is East and West is West, and never th... Read On
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They say you have to break some eggs to make an omelet (or, if you prefer, omelette). Similarly, you have to break some eggs in order to get egg on yo... Read On
In a recent FINRA expungement arbitration, the associated person Claimant throws the ball to the arbitrator on first, who drops the ball, so the Claim... Read On
Perplexing FINRA AWC About the Likely Statutorily Disqualified Rep(BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4801/FINRA-AWC-Disqualificati... Read On
It's not an uncommon tale of woe. You owe taxes. You can't pay the taxes. The tax authority doesn't care. They get a tax lien. It's embarrassing for y... Read On
[In]Securitiesa Guest Blog byAegis J. Frumento, Partner, Stern Tannenbaum & BellNot the One You Need Sometimes a plot is so transparent that you... Read On