BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

July 26, 2014

July 25, 2014
If you've been a stockbroker long enough, it's likely that some customer will file a lawsuit against you and your firm. Frankly, you may have screwed ...Read On
July 24, 2014
In a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in May 2013, public customer Claimant Meadows asserted cau...Read On
July 23, 2014
This one ain't pretty and there's sure as hell nothing here to laugh about. In 2012, a stockbroker finds himself charged with felony child molestation... Read On
July 22, 2014
Stockbroker, Compliance, Legal, and Regulatory Jobs. Employment Page BrokeAndBroker.com Jobs #wallstreetjobs @brokeandbroker... Read On
July 21, 2014
The customer says: Listen, I'm on the road and can't do it. Go ahead and sign my name. It's okay. The stockbroker is uneasy and asks: You su... Read On