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
The FINRA Regulatory Mule Kicks Defrauded Customers In the Head (BrokeAndBroker.com Blog) https://www.brokeandbroker.com/6852/finra-anderson-hard... Read On
In today's Blog we got a FINRA regulatory decision, a state court judgment, a bankruptcy, and a federal court action. As the legal matters now stand, ... Read On
When considering an appeal questioning FINRA's denial of an expungement request, the SEC seems to have approached its deliberation as a cat toying wit... Read On
A public customer filed a FINRA Arbitration Statement of Claim against Wells Fargo Advisors and asked for no less than $100,000 in damages. The arbitr... Read On