Maybe it's the upcoming Thanksgiving holiday next week. Maybe a lot of prosecutors and regulators buckled down yesterday and cleared their desks. Maybe it's just the confluence of the stars in the heavens. Whatever the cause, we sure as hell got a lot of industry news today and, as such, we're pre-empting the usually brilliant (and at times mesmerizing) commentary from our publisher Bill Singer, Esq., and offering you links to our companion online publication the Securities Industry Commentator (which, truth be told, is often brilliant in its own right and has often risen to mesmerizing heights).
In a recent FINRA regulatory settlement, a former supervisor was charged with having been aware of red flags of potentially unsuitable sales of liquid... Read On
Recently, the Commodity Futures Trading Commission published both a Staff Advisory and a Press Release that articulated its observations and disclos... Read On
FINRA Took Wells Fargo Stockbroker Outback to a Bar and SEC Says It's The Last Round (BrokeAndBroker.com Blog)
https://www.brokeandbroker.com... Read On
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