US Attorney Preet Bharara racks up a major settlement with Deutsche Bank involving HUD fraud -- maybe SEC Enforcement Director Khuzami could learn some lessons (as in Citigroup)? Read Bill Singer's in-depth analysis and blistering commentary.
How good is your Seinfeld trivia? For starters, you remember Brody? See that storyline come to life in a criminal case.
Here we go again. Another VA case ends badly -- this time with punies.
Some eight years ago, two Raymond James reps decided to work together. Apparently, a goal of the work relationship was to facilitate the contempl... Read On
There's Raymond James Financial Services, Inc. There's Raymond James & Associates, Inc. You even got the Raymond James Stadium. That's a lot of Ra... Read On
Imagine that you got a stockbroker. Imagine that you got an elderly customer. Imagine that the client drafts a Will. Now imagine how the intersection ... Read On
Structuring of Eight Bank Deposits Earns FINRA Suspension (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5812/finra-awc-smith/FINRA says that ... Read On
A FINRA AWC found that a registered rep borrowed money from two customers, but the loan wasn't actually made directly to the rep but to her limited li... Read On
As readers of the "Securities Industry Commentator" and the "BrokeAndBroker.com Blog" know, I am no fan of many of FINRA's press releases and have res... Read On