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24 Apr 2023, 3:33 am
(Financial Advisor IQ by Glenn Koch) In re: Facebook, Inc. [read post]
8 Jan 2018, 3:29 am
Sometimes you just never got around to writing stuff down; and sometimes, well, just between us, you figured it was a waste of time and who the hell is ever going to need to see this crap anyway -- which, as such logic goes, doesn't quite help you out of the fix you're now in because someone from... [read post]
14 Nov 2022, 3:08 am
All of which means that you see where the regulator had a point in sanctioning the Respondent, however, also, you think that the sanctions may have been a bit over the top, however, after thinking it all over, you're not so sure why the regulator bothered but you also never quite understand just what the hell the Respondent was thinking. [read post]
18 Jan 2022, 3:17 am
Additionally, Re... [read post]
22 Feb 2017, 5:31 am
The Dead Customer, Her Son, Trading Losses, And Stockbroker's ExpungementIt's very frustrating to report about successful FINRA expungement cases because, in so doing, I am forced to re-publicize the names of individuals who were victimized by false accusations and, in a sense, to mitigate the benefit of having won an expungement recommendation from a FINRA arbitrator. [read post]
29 Apr 2022, 12:40 pm
Ummm . . . someone wanna explain to me (and, while you're at it, to the SEC) how a human being aged 11 years in one year. [read post]
14 Nov 2017, 12:46 pm
All of which is exacerbated by the the reality that those with influence and money who do what you did get a pass while you're being charged and prosecuted. [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]
24 Oct 2017, 1:09 pm
In the end we're wrong on both counts. [read post]
12 Sep 2022, 4:45 am
., and David Neil Soiferman, Respondents / RE-POSTED IN RESPONSE TO September 13, 2022 / DMCA Takedown Notice. [read post]
22 Apr 2022, 3:49 am
After the SEC's PAUSE, We're Left Wondering Why (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6411/pause-sec-update/There is a moral hazard when the SEC publishes an increasing number of alerts and press releases. [read post]
10 Dec 2009, 9:57 am
If you’re struggling with credit card debt, you’re certainly not alone. [read post]
13 May 2020, 6:34 am
Establish clear definitions about what constitutes aggregate and de-identified data to ensure companies adopt certain technical and legal safeguards to protect consumer data from being re-identified. [read post]
13 Dec 2010, 6:22 pm
First things first: the health care bill is still law. [read post]
9 Mar 2009, 3:11 am
., In Re ConAgra Peanut Butter Products Liability Litigation, MDL-1845, 2008 WL 2885951 (N.D. [read post]
14 Jan 2012, 10:47 am
Lamar Smith (R-Texas) would not likely re-introduce the Domain Name System redirecting provisions in their bills. [read post]
19 Jan 2011, 2:47 pm
He lives in Ridgefield with his girlfriend, a former classmate with whom he became re-aquainted last spring. [read post]
16 Jun 2013, 10:21 pm
“We’re delighted that Rep. [read post]
2 Feb 2009, 9:29 am
"I'd like to know what kind of animal we're dealing with," said Johnson, 63, of Denver. [read post]
18 Mar 2010, 6:41 am
A bill might not meet every objective on the liberal checklist, but so long as you're Fighting Like Hell for it, liberals are usually going to be willing to fight for you too. [read post]
