An irreverent Wall Street Blog
by Bill Singer
by Bill Singer
Topic List for Confirmation (4 results)
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Previous Entries
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FINRA Rule 8210 Demands End With Stockbroker Bar
December 10, 2018
For those caught up in a FINRA investigation, there often comes a moment when you open a letter from Staff and it asks for numerous written explanatio... Read On
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BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
December 8, 2018
The Complaining Customer Is Dead, The File Is Lost, But A Stockbroker Battles On for Expungement (BrokeAndBroker.com Blog)http://www.brokeandbrok... Read On
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The Complaining Customer Is Dead, The File Is Lost, But A Stockbroker Battles On for Expungement
December 7, 2018
In today's featured FINRA expungement arbitration, we praise the impressive effort of a lone FINRA arbitrator, who patiently and intelligently explain... Read On
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GUEST BLOG: Blaming Nobody by Aegis Frumento Esq
December 6, 2018
Blaming Nobodyby Aegis J. Frumento, Partner, Stern Tannenbaum & Bell Most interviews with government officials are lame. The interviewer, usu... Read On
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The Wife, The Husband Stockbroker, The Divorce, The Wife's Complaint, and a FINRA Expungement Arbitration
December 5, 2018
We raise the curtain on a husband and wife headed for divorce. He is a stockbroker. She is a customer. She is not an actual customer. She is not ... Read On
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Former First Republic Securities Employee Wins $1.1 Million FINRA Arbitration Award
December 4, 2018
On Wall Street, the majority of employment disputes tend to get resolved in favor of employers. Some of that may be prompted by the Terminable-at-Will... Read On
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