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26 Oct 2009, 7:50 am
If you staff the branch properly, a BOM can service his own clients while running a branch. [read post]
15 Dec 2011, 6:05 am
Its executives talk a good game, but they are terrible at getting their message down to the staff, who still, in far too many instances, treat brokers and firms as if they are criminals, conducting exams with a "gotcha! [read post]
27 Apr 2012, 7:00 am
That is a significant violation.Referencing FINRA's own Sanction Guidelines, the starting point for FINRA's Enforcement Staff when they bring a case says: impeding FINRA investigation, a fine of $2,500 to $50,000, PLUS a suspension of one month to two years. [read post]
10 Mar 2010, 2:33 pm
In the last year or so I have seen payout reductions by 50%, removal of all support staff, mysterious re-calculations of payouts, forced changes in business models, trumped up termination language and a host of other conduct designed to either fire the broker, or force him to leave.That conduct is resulting in more claims for constructive discharge, as well as breach of contract and related claims, all of which are starting to come to hearing in the next few months.I expect that we… [read post]