Before you read this week's re-cap of BrokeAndBroker.com Blog, watch this video. The outcome of this poker hand underscores that there are no guarantees in life . . . even when ya got pocket Aces!
Sometimes it's strictly business. Sometimes it is personal. The thing is, when you're submitting a reimbursement request to your employer and claiming... Read On
Winston Churchill sagely observed that the "problems of victory are more agreeable than those of defeat, but they are no less difficult." Speak to eno...Read On
Tonight there's going to be a BIG dispute in the Singer family household. Sometime around 9 p.m. there is a world premiere of what I consider a cutt...Read On
This is an UPDATE of "FINRA Arbitrators Award Punitive Damages For Fraud, Malice, And Bad Faith" (BrokeAndBroker Blog, February 13, 2014)In his Second... Read On
Wall Street terminations often turn into bloody messes. Not only is there the anger over the causes prompting the end of the employee-employer relatio...Read On
Funny, isn't it? You know, the way double standards work in our society. Take, for example, virtually identical crimes or torts.In the first set of fa... Read On
A former UBS financial advisor (a top producer) was fired for allegedly violating compliance policies. The advisor tells a markedly different story.... Read On
In a recent FINRA regulatory settlement, a former supervisor was charged with having been aware of red flags of potentially unsuitable sales of liquid... Read On
Recently, the Commodity Futures Trading Commission published both a Staff Advisory and a Press Release that articulated its observations and disclos... Read On
FINRA Took Wells Fargo Stockbroker Outback to a Bar and SEC Says It's The Last Round (BrokeAndBroker.com Blog)
https://www.brokeandbroker.com... Read On
A former Wells Fargo Clearing Services, LLC registered representative attempted to pay $3,800 to purchase an Outback Bowl VIP Club Membership, which... Read On