Investment News discusses a recent SEC action against an investment adviser who left a wirehouse and formed his own RIA. Many brokers are viewing RIA business as a magic bullet to solve their increasing unhappiness with the wirehouse life. I [...]
OK, so remember when your mother was allowed to wash out your mouth with soap for using “dirty” words? (Now I think it counts as child abuse.) I do. There is at least one person who does not. In a [...]
I did not watch Sesame Street when I was a kid. I think I was just too old. But I love the Muppets, in part because their humor can be enjoyed on many levels. This clip popped up in something [...]
SunTrust Investment Services brokers, as I understand it, sit in banks. They wait for bank clients to come in and try to sell them securities. Generally, these clients are not experienced investors who are seeking out a stockbroker, active trading [...]
This is pretty far off-topic, but I have to admit that this is a good use of an iPhone. A father and his young son sent an iPhone with a broken screen into space tethered to a weather balloon. This [...]
Those of you who know me, know that it is hard for me to keep my mouth shut. Sometimes this is a detriment. I recently wrote to the editor of Law Technology News, Monica Bay, concerning my opinion about Thomson [...]
Investment News reports that a small California broker-dealer, Pyramid Securities, has been told by FINRA to close its doors for net capital violations. This is a result of a securities arbitration award against the firm in the amount of $339,000. [...]
I love technology. It usually makes my life easy. I love saving money. I love technology that helps me save money. And I must add that I am a big Google fan. I have a Gmail account. I have a [...]
There are times when I just wonder where the justice is. I represent, and have represented, former Citigroup (Now Morgan Stanley Smith Barney)brokers in arbitration claims filed by the firm seeking recovery of promissory note money. Citigroup isn’t alleging that [...]
According to this website, Jesup & Lamont, Inc. filed for Chapter 11 bankruptcy protection today. Perhaps this phoenix will rise from the ashes, but I doubt it will do so under current management. A sixth grade lemonade stand might have [...]
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