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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(No, not a commemoration of 1929's "Black Monday" )
Mark your calendar for October 28, 2010.
Bill Singer unleashes an unusual BrokeAndBroker.com Blog
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A recurring theme in the BrokeAndBroker.com Blog is the manner in which seemingly sensible, reasonable, and intelligent settlements of disputes just d... Read On
The Million Dollar BottleBy Aegis J. Frumento, Partner, Stern Tannenbaum & BellI reflexively thought of the movie Crazy Rich Asians when I read la... Read On
Sometimes the majesty and detail of a scam or fraud is really, really impressive. Most of the time, however, it's all a dumbass variation on a theme t... Read On
On October 15, 2018, Christopher M. Tanner was sentenced in the United States District Court for the Southern District of Alabama to 18 months in pris... Read On
You wouldn't think that Wall Street would want to cultivate an in-house compliance protocol of "Don't Ask, Don't Tell," but a recent FINRA arbitration... Read On
Customer Seeks $2 Million In Puerto Rico Bond Arbitration (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4224/finra-puerto-rico-bonds/If you'v... Read On
If you've been following Puerto Rico's financial crisis, you know that the Commonwealth's bonds are worth about the paper that they were printed on... Read On