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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Bill Singer unleashes an unusual BrokeAndBroker.com Blog
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In retrospect, Puerto Rico bonds were a bad investment. All of which explains the legions of devastated investors who have sued and continued... Read On
Another day. Another FINRA fine and suspension because some registered rep still doesn't understand why it's not okay (as in also being dangerous) to ... Read On
Sometimes you just have to shake your head. Human beings have an amazing capacity for getting themselves embroiled in all sorts of nonsense, then doin... Read On
FINRA Issues An Extraordinary and Cynical Release (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4689/finra-extraordinary-cooperation/The... Read On
Hester's Scarlet Begoniasby Aegis J. Frumento, Partner, Stern Tannenbaum & BellA few weeks ago, SEC Commissioner Hester Peirce bemoaned the lab... Read On
An Edward Jones stockbroker met with a customer and they agreed to reduce risk and increase income via portfolio rebalancing. Within a month of the re... Read On