Search for: "In Re Wall"
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8 Mar 2017, 3:44 pm
David Wessel – In the 30 years I spent at The Wall Street Journal, I tried a lot of ways to explain dense but important fiscal, financial, or monetary policies to people who know they’re important but never get to the end of any newspaper story on the subject. [read post]
28 Nov 2016, 2:51 am
Stockbroker Goes Aground On FINRA Day Trading Endeavor BarIf you don't watch where you're sailing, you could find yourself aground on a sandbar. [read post]
10 Sep 2021, 1:27 pm
All of which leaves us wondering why you did it; and, frankly, I suspect that you're left to wonder the sa... [read post]
16 Nov 2012, 5:37 am
Obama because he's a Democrat and they're Democrats, some because he is of the left and they are of the left. [read post]
6 Sep 2019, 7:08 am
For the FINRA suspension to have meaning and for it to actually work, the subject registered representative has to really, really believe that when Wall Street's self-regulatory-organization says that you're suspended, well, you know, the regulator means it. [read post]
24 Jan 2020, 4:10 am
In Re: Chicago Board Options Exchange Volati... [read post]
1 Nov 2019, 4:53 am
Tower Research Capital Not Such a CFTC Bad Boy After E-Mini Fraud (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4897/cftc-towers/On Wall Street, if you are found to have engaged in certain misconduct or criminal activity, you're tagged with the label of a "Bad Boy," which can impact your ability to engage in various forms of employment, pursue various business ventures, and may delay your ability to issue public offerings. [read post]
19 Feb 2016, 3:59 am
Is this the best regulation that Wall Street's self-regulatory organization has got to give? [read post]
13 Nov 2020, 8:14 am
[In]Securities Guest Blog: Eggs from the Golden Goose By Aegis Frumento Esq (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5536/insecurities-aegis-frumento-election/Veteran Wall Street lawyer Aegis Frumento considers veteran Wall Street prosecutor Rudy Giuliani's legal strategy on behalf of the Trump re-election effort. [read post]
21 Nov 2018, 12:43 am
In recognition of that early exodus from Wall Street, the BrokeAndBroker.com Blog offers two extracts from Securities Industry Commentator (which, if you're wondering, also has lots of very serious stuff but we thought it would be better to tease new readers with some fun bits).Springfield Man Pleads Guilty to Federal Drug Charge After Shipping Marijuana in Styrofoam Rock... [read post]
10 Nov 2014, 9:45 am
BTW, since we're on the topic of graffiti, Cardiff, Wales sponsored something called the Empty Walls festival in which skilled graff artists were invited to fill up large, plain walls with enormous murals. [read post]
4 Jul 2022, 7:46 pm
Or, as a federal court muses, is it just a byproduct of things getting faster to the point that it's all pretty much a blur and, spoofing or not, we're all moving close to the speed of light on Wall Street. [read post]
14 Jun 2019, 6:19 am
What's the point of all those regulators on Wall Street? [read post]
12 Mar 2021, 11:31 am
We're in the midst of a horrible pandemic. [read post]
1 Feb 2017, 2:42 pm
Today we're publishing his Florida talk to his old firm--it's entitled "Sitting on the Wall"--in its entirety. [read post]
23 Jun 2015, 7:24 pm
So today I’m giving up the Wall Street Journal. [read post]
7 Jul 2010, 7:05 am
We’re short on Wall Street 2: Money Never Sleeps. [read post]
8 Aug 2008, 9:17 am
So is Wall Street, which now has to pay for it. [read post]
14 Oct 2011, 9:03 am
They're so jealous of the Tea Party, they want this thing to be bigger than the Tea Party, and it isn't, and it can't be. [read post]
31 Jul 2007, 4:25 am
"We're talking to all sorts of people about different [...] [read post]
