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Thu, 02 Feb 2012 10:14:09 EST
NASAA Issues A Warning About Chasing Higher Rates of Returns -- But Is That A Moral Hazard? ... Read On
Bill Singer is a securities industry attorney who advocates on behalf of small- and mid-sized broker-dealers, registered persons, whistleblowers, and defrauded public investors. Bill Singer's Website
February 2, 2012
A special note from Bill Singer:Since I closed my own law firm in 2002, it has been quite the journey. In the ensuing decade, I've had the privilege of working with some truly phenomenal lawyers at several excellent firms. First and foremost, ... Read On
For up to date, daily Wall Street job postings visit the BrokeAndBroker Employment Page.
Fri, 03 Feb 2012 15:16:29 +0000
TweetShare via emailAs we continue the push towards April 15, 2012 the WolfBridge Financial team plans to focus most of our blogging efforts around offering up information that hopefully will help tax day come and go much easier than it …Read more »... Read On
Thu, 02 Feb 2012 18:29 GMT
Who cares whether some guy named Eli can beat Giselle Bundchen's husband? An Irish-based betting company is offering people a chance to bet on something closer to their hearts: Facebook's IPO share price.... Read On
Fri, 03 Feb 2012 18:25:50 +0000
Acquisitions to expand The Riverside Company‘s investment in the governance, risk and compliance industry San Francisco, CA, Portland, OR, Charlotte, NC, Feb.1, 2012 – ELT Inc., EthicsPoint Inc., and Global Compliance Services Inc. announced their intent to merge, forming a leading pla... Read On
01 10 2012 12:07:00
Apparently, the FCC doesn't like it when you move from one county to another, even if it is only down the street. As a result, I now have a new Office Phone Number. Please make a note of my new Office Phone Number:(904) 547-2913.If you are in the area, (see prior post) be sure and drop by.Thanks.Ric... Read On
01 28 2012 07:22:00
Midas Securities, Jay S. Lee, Exchange Act Rel. 66200, January 20, 2012This case is significant for two reasons. It restates clearly the duty that brokerage firms have to investigate sales of large amounts of stock of little known issuers. Most important, from a supervisory standpoint, it finds supe... Read On
Susan Antilla has written about Wall Street, financial regulation and business for three decades. She is the author of "Tales From the Boom-Boom Room," the 2002 book that exposed a culture of sexual harassment at financial companies. A Bloomberg columnist since 1995, Antilla won the "Excellence in Financial Journalism" award from the New York State Society of Certified Public Accountants.
Read Susan Antilla's Blog
Read Susan Antilla's Blog
Fri, 03 Feb 2012 18:25:50 +0000
Acquisitions to expand The Riverside Company‘s investment in the governance, risk and compliance industry San Francisco, CA, Portland, OR, Charlotte, NC, Feb.1, 2012 – ELT Inc., EthicsPoint Inc., and Global Compliance Services Inc. announced their intent to merge, forming a leading pla... Read On
Fri, 03 Feb 2012 16:59:22 +0000
NIR Group’s court appointed liquidators, PricewaterhouseCoopers, has discovered Corey Ribotsky pigged out on fees while hundreds of mom and pop investors had their pension investments frozen. I reported this week for Long Island Business News, Ribotsky’s hometown paper, that the alleged ... Read On
Fri, 13 Jan 2012 20:33:02 +0000
New York (Reuters) – Phil Angelides, formerly the chairman of a federal commission who led investigations into why the financial markets collapsed, is heading an investment group that hopes to “do a good thing” for America while turning a profit from the wreckage of the... Read On
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