A personal message from Bill Singer, Publisher of the BrokeAndBroker.com Blog:
With Stephen Kohn and Jim Webb, the FINRA Small Firm community now has two superb candidates for the 2017 FINRA Small Firm Governor seat.
Get to know your candidates.
Make your vote and voice count!
"Join The Battle To Reform Wall Street Regulation" (BrokeAndBroker.com Blog, June 2, 2017)
At first blush, a recent FINRA AWC seems to be piling it on against a former Morgan Stanley rep over some silliness involving unapproved emails about ... Read On
In "The Love Song of J. Alfred Prufrock," T.S. Eliot laments: "I have measured out my life with coffee spoons." In a recent federal lawsuit involving ... Read On
Out of respect forthe 10 deceased and three injured victimsat the Tops Markets, Buffalo, NY massacrethe "BrokeAndBroker.com Blog" suspends p... Read On
Wells Fargo Sues Over Transitional and Production Bonuses But Rep Fights Back (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6445/wells-fargo... Read On
Wall Street is about nothing if not money. In today's featured dispute, we got a transitional bonus. We got production bonuses. We got promissory note... Read On