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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It is always disconcerting when elderly customers change their wills in order to leave eye-opening bequests to their stockbrokers or financial advisor... Read On
A Bankruptcy, a Voluntary Dismissal, and a Death (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/6244/finra-arbitration-death/As Woody Allen so... Read On
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/625... Read On
In a sign of the times, a recent FINRA dispute between two former associated persons prompted a Stipulated Award. In furtherance of the parties' settl... Read On