OPEN CALL For BrokeAndBroker.Com Blog Contributors
The Mechanical Stuff
If you would like to pitch a Guest Blog for the BrokeAndBroker.com Blog, please send a brief outline of the proposed article to rrbdlawyer@gmail.com. I don't open attached files from unknown senders, so make sure that your pitch is in the text portion of the email. There is no compensation offered; however, I am happy to include in any article your direct contact information and professional biography.
Big Tent
I welcome all views and perspectives, even when they erroneously conflict with mine. Please do not send me puff or marketing pieces. I want regulatory/legal/compliance commentary on important cases and developing issues. Also, I am seeking thoughtful observations about investing and market trends. Customer advocates and unrepentant industry apologists are all welcome.
Sample Guest Blogs
How many words? What's the preferred formatting? For guidance, see the Guest Blogs archive at http://www.brokeandbroker.com/index.php?a=topic&topic=guest-blog
If you've got the writer's itch, scratch it at the BrokeAndBroker.com Blog. Send submissions to: rrbdlawyer@gmail.com
CSSC Suspended and Fined and its CEO Smith Barred For Bridge Loans
FINRA Department of Enforcement, v. CSSC Brokerage Services, Inc. and Eric S. Smith (FINRA Office of Hearing Officers, Extended Hearing Panel Decision)
Fine and Suspension for Private Securities Transactions
In the Matter of Gary L. Pevey, Respondent (FINRA AWC)
400 Discretionary Trades Lacked Written Authorization
In the Matter of Frank Fornshell Venable III, Respondent (FINRA AWC)
Two Customer Complaints Expunged
In the Matter of the Arbitration Between Stephen Frederick Cordasco, Claimant, v. Wells Fargo Clearing Services, LLC, Respondent (FINRA Arbitration)
I make mistakes. You make mistakes. We all make mistakes. It's part of what makes us human. In a recent regulatory settlement, FINRA concedes that a... Read On
A former UBS rep sued his former UBS investment adviser brokerage firm. Also, the former rep sued UBS Bank. The Bank didn't file an Answer or appear i... Read On
GUEST BLOG: [In]Securities: Wanting to Break Free: The Delaware Chancery Court Strikes Down Cantor Fitzgerald's Non-Compete Clauses by Aegis Frumento ... Read On
In 2018, a registered representative filed a FINRA Arbitration Statement of Claim seeking to expunge eight customer complaints from her industry recor... Read On