An irreverent Wall Street Blog
by Bill Singer

BrokeAndBroker Week In Review

March 22, 2014

Lightspeed Registered Rep Snagged By Day Trading Commissions
March 21, 2014
High Frequency Trading or HFT has been in the headlines lately, and along with that scrutiny, we're also seeing a bit of unease among the so-called da...Read On
Elderly Client Annuity Beneficiary Changed And Stockbroker Suspended
March 20, 2014
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or de... Read On
Ameriprise Customers Paid Broker's Credit Cards
March 20, 2014
In today's BrokeAndBroker Blog about a Financial Industry Regulatory Authority ("FINRA") settlement, your first impression is anger at the stockb... Read On
The Nudge, Nudge, Wink, Wink Of Criminal Background Disclosure
March 19, 2014
It's a question that often comes up in a number of telephone calls that I get: Can an employer refuse to hire me because of a prior arrest or convicti... Read On
Life, Death, And Day Trading
March 19, 2014
In today's BrokeAndBroker Blog, a senior citizen public customer asserts that he was taken advantage of by a now deceased stockbroker, who was im...Read On
EMPLOYMENT TUESDAY at BrokeAndBroker.com
March 18, 2014
Stockbroker, Compliance, Legal, and Regulatory JobsFor a full listing of current job openings, visit the BrokeAndBroker Employment Page ... Read On
USA To Gibralter To Cayman Islands Software Scam
March 17, 2014
It's the stuff of Hollywood meets Silicon Valley meets Ponzi. We got music and movies. We got Internet and software. We got a Bernie Madoff/Jordan Bel...Read On

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