Weekend Update from Bill Singer of BrokeAndBroker.com

May 3, 2013

Member firm gets tagged with sanctions for FINRA arbitration discovery abuse... Read On
The North American Securities Administrators Association ("NASAA") has posted: Investor Advisory: Financial Service Providers, which helps invest... Read On
It's as bedrock and basic a circumstance as there is. A customer complains to the brokerage firm about some perceived misconduct by a stockbroker. The...Read On
This BrokeAndBroker Blog offers an interesting comparison of two similar Financial Industry Regulatory Authority ("FINRA") intra-industry arbitrations... Read On
Next time you bounce a check, you might ask if it could mushroom into a regulatory matter... Read On
A clash of employer and employee, with a promissory note balance tossed in for good measure... Read On
What's the cost of principle in battling over the principal of a promissory note?... Read On
Visit the BrokeAndBroker Employment Page. Legal, regulatory, compliance, back-office, and stockbroker openings ... Read On
On May 1, 2012, in federal court in Boston, MA, the Securities And Exchange Commission ("SEC") filed a Complaint charging that around 2009,  Arne... Read On