NOTICE TO EMPLOYERS: BrokeAndBroker.com offers the perfect Wall Street demographic of industry professionals: stockbrokers, advisors, lawyers, regulators, compliance officers, and
back-office staff.
Click POST A JOB and your position will be promptly listed.
Only $50 for 30 days!
BrokeAndBroker.com Blog is pleased to refer our readers to:
October 20, 2015: Bill Singer speaks with Gusrae Kaplan Nusbaum law firm Corporate Finance Partner Lawrence G. Nusbaum III, on the return of corporate finance, IPOs and a new surge of debt deals from small and mid-cap companies on Wall Street. Nusbaum shares his thoughts on which financial services firms get hurt the most in an increased regulatory environment, whether a small broker-dealer can float a $5 to $20 million deal today, and why brokers need to be aware of the rules when it comes to being a "finder," or connecting investors with companies looking for capital. WATCH
That sound you hear is a federal court scratching its head. Before it on appeal is a FINRA Arbitration Award that lacks any explanation as to the fact... Read On
On September 6, 2023, FINRA declared the victories of two unopposed candidates in its Board of Governors elections; however, FINRA still declines to p... Read On