An irreverent Wall Street Blog
by Bill Singer
by Bill Singer
Topic List for Discretion (8 results)
- A Family Affair In FINRA Discretion Settlement
May 22, 2013 - Former Raymond James Broker Stumbles With Discretionary Sales
April 23, 2013 - Morgan Stanley Broker Cited For Discretion And Unsolicited Trades
March 19, 2013 - NASDAQ QQQ Stop Loss Strategy Earns Stockbroker Fine And Suspension
December 12, 2012 - Trading For The Dead Posed Grave Problem For Stockbroker
December 3, 2012 - A Stockbroker's Indiscretion Of Discretion
October 10, 2012 - Time And Price Discretion Earns Stockbroker Time Consuming Suspension and Pricey Fine
July 6, 2012 - Shocking Verdict In Morgan Keegan Arbitration Against Broker Who Exercised Discretion (Or Not)
June 11, 2012