BrokeAndBroker.com Blog by Bill Singer Week In Review

September 13, 2014

September 12, 2014
What's this column about?  Not sure but I thought that I'd just go with it. It's a Friday afternoon and the Labor Day holiday is behind us and su... Read On
September 12, 2014
Some fights are quick. A quick upper-cut in the first round and, wham, the loser is on the canvass being counted out. Other fights are knock-down-drag...Read On
September 11, 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
September 11, 2014
This is an update of "In Vino No Veritas Says Kurniawan Jury" (BrokeAndBroker.com, December 20, 2013).Before I became a lawyer, I was the third genera... Read On
September 10, 2014
Anti-Money Laundering or AML is a hot button issue for Wall Street's compliance professionals. Given the world of terrorism and organized crime that w...Read On
September 9, 2014
Stockbroker, Compliance, Legal, and Regulatory JobsEmployment Page BrokeAndBroker.com Jobs#wallstreetjobs @brokeandbrokerNOTICE TO EMPLOYERS... Read On
September 8, 2014
Notwithstanding the relatively rosier employment picture of recent months (and there are still many thorns hidden in that employment data), the legacy... Read On