It's been a busy week at RRBDlaw.com, the BrokeAndBroker Blog, Forbes.com, and Huffington Post for Bill Singer. If you missed any of our stories, here are the links:
Bill Singer's Monthly FINRA Disciplinary Cases Review at RRBDlaw.com:
"Street Sweeper" at Forbes.com: The Lehman Collection Case
Bill Singer's Huffington Post Blog:
BrokeAndBroker.com
So . . . the other day, April 9, 2021, I came across another one of FINRA's urgent, all-important, uber-critical Regulatory Notices. This one was numb... Read On
On April 12, 2021, the New York Stock Exchange ("NYSE") announced that it would be minting its first Non-Fungible Tokens ("NFTs") in order to memorial... Read On
If you file a securities fraud claim under Section 10(b) of the Securities Exchange Act of 1934, a basic element of your proof must be to show th... Read On
Customer Complaints and Away Settlements -- Matters of Interpretation? (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5788/finra-complaint-set... Read On
A lot of what passes for misconduct on Wall Street is a matter of interpretation. You say that you did or didn't do something. Your firm's compliance ... Read On
Yet again, I say. Yet again. Wall Street's lackluster regulatory scheme fails to proactively detect an oncoming tsunami, and the markets get flooded. ... Read On
Over a decade ago, when the stock markets were cratering in the wake of the Great Recession, investors saw their pre-2009 gains vanish. Lots of black ... Read On