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The General Motors Garage Sale is in full effect, with the bankrupt behemoth selling off all random and peripheral properties and businesses it’s acquired over the last 100 years.
For sale currently are such thrilling items as a parking lot in Flint, Michigan and a self-polluted stretch o... Read On
Bill Singer is a securities industry attorney who advocates on behalf of small- and mid-sized broker-dealers, registered persons, whistleblowers, and defrauded public investors.
Veteran regulatory lawyer
Bill Singer's analysis of recent FINRA cases is now online at http://RRBDLAW.com.
Make sure to click on the links to read Bill's commentary about
... Read On
I walked to my NEW office this morning without drowning in a puddle. High of 61 today with downpours. Feel sorry for us, here in coastal NH. We deserve your pity.Few things:1. Remember the FTC Red Flags Rule? FINRA released its brand new written ID Theft Prevention Program template!--and it has an a... Read On
WSJ Law Blog has Wayne State law professor who studied filings in advance of the Madoff sentencing slated for today. Click for an overview of how it’s likely to unfold. Also has earlier posts on filings from Ira Sorkin, Madoff lawyer, and government, respectively (each contains links to underlying... Read On
By Shah Gilani
Contributing Writer
Money Morning
With its regulatory overhaul of the U.S. financial system, the Obama administration has granted the federal government new powers to take over systemically important businesses, but has done so in a way that may well mask a potentially danger... Read On
Husky Trading LLC, Eugene O'Brien, Michael Inemer, Stephen Floirendo, Exchange Act Rel. 60180, June 26, 2009Time since appeal filed – 11 months 2 daysTime since last brief – 8 months 5 daysPages – 14Footnotes – 33The Philadelphia stock exchange found that Husky (an exchange member), O'Brien ... Read On
For 21 years, Broker Dealer Market has served the Buy, Sell and Merge needs of small to mid-sized Broker Dealers and Registered Investment Advisors (RIA). Broker Dealer Market's experience has allowed us to streamline the process for buyers and sellers of Broker Dealers or RIAs. We provide quick and smooth transitions of ownership.
This is the fourth in our EGTRRA Restatement Series, the purpose of which is to help retirement plan sponsors handle the required amendment and restatement of their retirement plans. Last week, I discussed plan document choices.
Today's post is about the Summary Plan Description ("SPD&... Read On
This site was created to provide timely and practical information for Financial Advisors on Going Independent and all that's involved in the process. The site will feature articles, tools and other resources including one on one consulting services which we hope will inform, educate and inspire those who visit.
Cantella & Co., Inc., a 55-year young national broker/dealer located in the Financial District of Boston. We are service professionals helping financial professionals provide for clients in need of planning for retirement, paying for their children's education, and managing taxes efficiently. Visit Cantella.com
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