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by Bill Singer

BrokeAndBroker.com Blog by Bill Singer Week In Review

September 27, 2014

IRS Telephone Scam Alert
September 26, 2014
It seems like every day brings us yet another warning about some telephone scam involving impersonations of government employees.  In the past, f... Read On
Assistant Impersonates 6 Customers In Managed Funds Sales
September 26, 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
Internet Crime Complaint Center Victimized By Email Impersonators
September 25, 2014
In recent years, the BrokeAndBroker.com Blog has published Federal Bureau of Investigation and the Internet Crime Complaint Center ("IC3") warnings ab... Read On
Trade Error And Citigroup's Dubious Loss Of Confidence
September 25, 2014
Ah yes, the old "loss of confidence" explanation for terminating a Wall Street employee. Now there's a reason for termination that garners more than a...Read On
Bonus And Severance Versus Employee Handbook
September 24, 2014
Lawyers often tell their clients to "get it in writing." The old legal joke is that a written contract is worth the paper it's written on. None of whi... Read On
EMPLOYMENT TUESDAY at BrokeAndBroker.com
September 23, 2014
Stockbroker, Compliance, Legal, and Regulatory JobsEmployment Page BrokeAndBroker.com Jobs#wallstreetjobs @brokeandbrokerNOTICE TO EMPLOYERS... Read On
SEC Awards Foreign Whistleblower $30 Million. FULL TEXT ORDER ONLINE
September 22, 2014
On September 22, 2014, the Securities and Exchange Commission ("SEC")announced the awward of $30 million to a whistleblower that is now the largest ma... Read On
Doctor, Doctor Give Me The News
September 22, 2014
The dog ate my homework. My alarm clock didn't go off. I'm sick and can't get out of bed. Oh my, how many of you have resorted to one of those legenda... Read On

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