Featured in today's Securities Industry Commentator is an astounding 20 cases involving Wall Street's criminal, regulatory, and compliance scene. As prosecutors and regulators end their fiscal year, the rush is on to close 2019 matters. And what a rush it is! A one-day plethora of perfidy!! Presented for your consideration are matters involving theft, fraud, Ponzi schemes, scams, crimes, cover-ups, obstruction, broker dealers, stockbrokers, associated persons, whistleblowers, terminations, discharges, RIAs, IARs, SEC, DOJ, FINRA, Blockchain, Bitcoin, ICO, Internet, Infomercials, Binary Options, Hedge Fund, Funds, Arbitration, and Cattle. It's a world of fraud and crime and plain-old misconduct.
[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
BrokeAndBroker.com Blog publisher Bill Singer Esq. is no fan of non-solicit/non-compete provisions. Sure, there could be . . . there are . . . compell... Read On
GUEST BLOG [In]Securities: Jive Talkin': The SEC Busts a Braggin' Broker by Aegis Frumento Esq (BrokeAndBroker.com Blog)https://www.brokeandbroke... Read On