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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Mark your calendar for October 28, 2010.
Bill Singer unleashes an unusual BrokeAndBroker.com Blog
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After a seven-week trial in the United States District Court for the Northern District of California ("NDCA"), Defendant Melvin Shields was found guil... Read On
[In]Securities a Guest Blog byAegis J. Frumento, Partner, Stern Tannenbaum & BellDriving That ESOP TrolleyWho hasn't heard of the Trolley Pro... Read On
In 2005, Ty Storlie began working as an external wholesaler in Prudential Insurance of America's annuity business. In November 2017, when Storlie... Read On
FINRA Settles Case Involving What Looks Like A Felony But Isn't (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5017/finra-awc-felony/In t... Read On
In today's blog we are confronted with criminal conduct by an associated person. In discharging its regulatory role, FINRA promptly investigated the m... Read On