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by Bill Singer

BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

July 19, 2014

Stockbroker Whiffs On Three Email Strikes
July 18, 2014
How nice. How convenient. Customers can actually send emails to their brokerage firms and ask for all sorts of things. Gone are the days of voicemail ...Read On
SEC ALJ Parses Through Evidentiary Objections
July 18, 2014
It's not always about the fireworks at trial.  Sometimes, the pyrotechnics of the motion practice leading up to the first day of testimony determ...Read On
RIA And Insurance Gigs Cost Stockbroker Job Plus Suspension and Fine
July 17, 2014
Some registered persons have trouble making ends meet, even with a full-time job as a stockbroker. Other folks just want more -- and they seek outside...Read On
HNW Customer Complains, Firm Settles, Stockbroker Doesn't . . . Now What?
July 16, 2014
This stockbroker wasn't named in the public customer's FINRA Arbitration Statement of Claim caption.  The brokerage firm settled for less than 3%... Read On
EMPLOYMENT TUESDAY at BrokeAndBroker.com
July 15, 2014
Stockbroker, Compliance, Legal, and Regulatory Jobs. Employment Page BrokeAndBroker.com Jobs #wallstreetjobs @brokeandbrokerNOTICE TO EMPLOYERS... Read On
The War to End All Wall Street Wars
July 14, 2014
Pursuant to a $7 billion settlement, on July 14, 2014, the United States Department of Justice announced that it had resolved federal and state civi... Read On
Stockbroker's Restaurant Lands Him In FINRA Hot Soup
July 14, 2014
Stockbrokers are often more than just that -- some of the men and women who serve in registered representative capacities on Wall Street are also entr... Read On

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