BrokeAndBroker.com Blog by Bill Singer. WEEK IN REVIEW

June 28, 2014

June 27, 2014
What did FINRA know and when did they know it? No, we're not trying to channel the spirits of Nixon and Watergate but a recent FINRA settlement r...Read On
June 26, 2014
There often comes that time when it's time to move on. To leave your current employment. To go work on the other side of the fence, where you think th...Read On
June 26, 2014
On June 25, 2014, New York State Attorney General Eric Schneiderman filed a Complaint naming defendants Barclays PLC and Barclays Capital Inc.with fra... Read On
June 25, 2014
Now Online at BrokeAndBroker.com:Below are the Official Court Syllabus and select extracts from the Opinion.At the end of the blog, find links to ... Read On
June 25, 2014
Wall Street fraud is often banal. True, some fraudsters are quite clever and demonstrate admirable creativity in the spiel that traps the pigeons, and... Read On
June 24, 2014
Stockbroker, Compliance, Legal, and Regulatory JobsEmployment Page BrokeAndBroker.com Jobs#wallstreetjobs @brokeandbrokerNOTICE TO EMPLOYERS... Read On
June 23, 2014
Now Online at BrokeAndBroker.com:Below are select extracts from the Opinion.At the end of the blog, find links to Transcript and Tape of Oral Arg...Read On
June 23, 2014
In today's BrokeAndBroker Blog, I applaud FINRA for taking action against an individual who seems to have preyed on the elderly. That is certainly the...Read On