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
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
In today's blog we consider the plight of two registered representatives seeking to obtain expungements of customer complaints by filing FINRA Arbitra... Read On
Light Bulbs, Coffee Cakes, and FINRA's Regulation of Stockbrokers Designated As Estate Beneficiaries (BrokeAndBroker.com Blog) https://www.brokea... Read On