Veteran Wall Street attorney and publisher of the BrokeAndBroker.com Blog, Bill Singer, hosted the seven-episode video series Case-in-Point, which concluded on November 24, 2015. Below find the array of interviews touching on topics from the birth of the volatility index to the survival of smaller broker-dealers to hot-button regulatory/compliance issues.
Schwab Intelligent Portfolios ("SIP") was advertised as a robo-adviser that didn't charge advisory fees; however, from March 2015 through November 201... Read On
GUEST BLOG [In]Securities: Highwaymen: The SEC Pulls Off a Brinks Heist by Aegis Frumento Esq (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/... Read On
[In]Securities a Guest Blog byAegis J. Frumento, Partner, Stern Tannenbaum & BellHighwaymen: The SEC Pulls Off a Brinks HeistAside from pirat... Read On
The Report of the Independent Review of FINRA's Dispute Resolution Services -- Arbitrator Selection Process (June 28, 2022) https://www.finra.org... Read On
A FINRA Panel of Arbitrators found Citigroup Global Markets, Inc. ("CGMI"), Citigroup, Inc., and Citibank, N.A. guilty of discrimination, harassm... Read On