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1 Oct 2014, 12:56 pm
Senate race; Ruling comes minutes before 2 p.m. deadline": Steve Fry of The Topeka Capital-Journal has this news update. [read post]
13 Aug 2022, 8:55 am
That gap in Wall Street's regulatory scheme always seems to favor the big boys to the detriment of the small fry. [read post]
5 Feb 2015, 1:58 am
On Wall Street, we have our own growing divide in which those that I have often called the "small fry" seem to be singled out for more aggressive investigation and regulation replete with resort to the nuclear-option of a Bar or Revocation. [read post]
4 Jan 2015, 12:20 pm
Fry, Attribution of responsibility Vladyslav Lanovoy, Complicity in an internationally wrongful act Helmut Philipp Aust, Circumstances precluding wrongfulness Pierre d'Argent, Reparation, cessation, assurances and guarantees of non-repetition Annemarieke Vermeer-Künzli, Invocation of responsibility Eric Wyler & León Castellanos-Jankiewicz, Serious breaches of peremptory norms Christian J. [read post]
3 Apr 2023, 4:20 am
If it were one of the small fry, we all suspect that things would have moved quicker and with more devastating sanctions. [read post]
7 Dec 2013, 3:47 am
Some things apply to the big boys and not the small fry. [read post]
2 Mar 2015, 8:21 am
I frequently criticize FINRA for trying to land the knock-out punch on the industry's small fry when there isn't the same blood-lust displayed with some of the big fish. [read post]
18 Dec 2017, 3:43 am
  FINRA is so intent on ringing up the cash register for fines and sending some small fry to the penalty box that the self-regulator fails to see that hundreds of thousands of industry employee who are in a fantasy sports league or who make a weekly wager on sports are technically in violation of one of FINRA's most frequently enforced rules. [read post]
18 Dec 2017, 3:48 am
  FINRA is so intent on ringing up the cash register for fines and sending some small fry to the penalty box that the self-regulator fails to see that hundreds of thousands of industry employee who are in a fantasy sports league or who make a weekly wager on sports are technically in violation of one of FINRA's most frequently enforced rules. [read post]
20 Nov 2020, 10:10 am
Similarly, I'm fed up with checkbook regulation, which always affords the big boys the opportunity to simply pay for their misconduct out of the pockets of their public shareholders, whereas the small fry g... [read post]
16 Aug 2013, 6:38 am
Fry & ElFadil Ibrahim, Reassessing Venezuela’s organic hydrocarbon law: a balance between sovereignty and efficiency? [read post]
3 Apr 2023, 4:20 am
If it were one of the small fry, however, we all suspect that things would have moved quicker and with more devastating sanctions. [read post]
14 Jun 2016, 11:01 am
BrokeAndBroker.com Blog publisher Bill Singer frequently calls out Wall Street's regulators for their inconsistent approach to sanctioning the industry's big fish versus the small fry. [read post]
29 Jun 2016, 1:48 pm by Jim Gerl
The United States Supreme Court has agreed to hear Fry v Napoleon Community Schools, #15-497. [read post]
28 May 2021, 8:56 am
As things tend to work out under Rule 2010's shadow, the small fry get expelled and barred for their transgressions of the industry's purported standards and principles; however, when the big boys screw up, FINRA tends to find mitigation and cooperation and explanations, and, well, you know, self-regulation looks quite different depending upo... [read post]
28 May 2021, 8:56 am
As things tend to work out under Rule 2010's shadow, the small fry get expelled and barred for their transgressions of the industry's purported standards and principles; however... [read post]
24 Oct 2017, 4:37 am
The small fry investor was sacrificed on the altar of ... [read post]
4 Jul 2013, 7:12 am
 More to the point, when will we see equal determination against the big boys and not just the small fry? [read post]