Thanks to all of you for contacting me and asking about how we're all weathering Hurricane Sandy. The NYC Metro area is, well, what else can I say? It's a disaster. With few exceptions, folks are homeless, powerless, foodless, and cranky as hell but, in keeping with these massive tragedies, most of those in the storm's path are hangin' in there, making due, as best as possible.
Recently, the Commodity Futures Trading Commission posted this press release: CFTC’s Division of Clearing and Risk Issues Staff Advisory on t... Read On
FINRA Took Wells Fargo Stockbroker Outback to a Bar and SEC Says It's The Last Round (BrokeAndBroker.com Blog) https://www.brokeandbroker.com... Read On
A former Wells Fargo Clearing Services, LLC registered representative attempted to pay $3,800 to purchase an Outback Bowl VIP Club Membership, which... Read On
In today's blog we consider the plight of two registered representatives seeking to obtain expungements of customer complaints by filing FINRA Arbitra... Read On