Salaries Get Chopped for Many Americans Who Manage to Keep Jobs (Bloomberg by Matthew Boesler and Reade Pickert)
New Jersey Man Arrested For $45 Million Scheme To Defraud And Price Gouge New York City During COVID-19 Pandemic (DOJ Release)
Private Equity Firm Ares Management LLC Charged With Compliance Failures (SEC Release)
Taleb-Asness Black Swan Spat Is a Teaching Moment / Investors should recognize where the "Black Swan" author and a quant fund pioneer tend to agree rather than differ. (Bloomberg by Aaron Brown)
Market to Hit New Highs, Shut Down Was An Historic Mistake Says Professor Jeremy Siegel (BrokeAndBroker.com Blog)
SEC Seeks Contempt Order Against Perpetrator of Offering Fraud (SEC Release)
Rep Fined and Suspended for Private Securities Transactions and Email Compliance. In the Matter of Robert Nicholas Korzik, Respondent (FINRA AWC)
Rep Fined and Suspended for Borrowing Money from Firm Customer. In the Matter of Paul Liebman, Respondent (FINRA AWC)
Former Morgan Stanley Rep Fined and Suspended for Signing ACAT Form. In the Matter of Sachin Kumar, Respondent (FINRA AWC)
Rep Fined and Suspended for Private Securities Transaction. In the Matter of Michelle L. Gill, Respondent (FINRA AWC)
Petition to Nominate Stephen A. Kohn for Small Firm Seat on FINRA Board of Governors / 2020 Election
