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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.
A federal criminal Complaint unsealed on March 8, 2010, paints a frightening story. On February 22, 2010, more than a dozen employees,executives, and one board member of a New York-based life insurance company (the "Company") received... Read On
Consumers Financial Corp., Exchange Act Rel. 61561, February 22, 2010After these proceedings were instituted under Exchange Act ยง 12(j) based on delinquent mandatory filings the company claimed that it had less than 200 shareholders by filing a Form 15. The Division of Enforcement sought to amend t... Read On
Okay. They are finally getting close to passing this law, but it includes a study that may delay its implementation for a few years. It seems that the government wants disclosure for retail customers, but they do not know what a retail customer is, so they have to have a study. In addition, they wan... Read On
Mike Koehler discusses the recent release by the OECD of "the most comprehensive guidance ever provided to companies and business organizations by an international organization" on internal controls, ethics and compliance programs to combat bribery.
(This is only a summary of the article.... Read On
2009 was a challenging year for employers and employees.
From our vintage point, we are seeing more employers than in recent years finding it necessary to return excess 401(k) contributions to Highly Compensated Employees by the March 15 deadline or provide a supplemental 100% ves... Read On
Way Up from the bottom, with Wall Street and Big Bank's recent financial results, Rosenthal Recruiting sees the 'Employment Scene' picking up with the biggest firms strategic moves and smaller niche firms launching, expanding or adding capabilities such as Research and revenue producers. Example of ... Read On
Having survived a wind storm and a semi-annual procedures update process that nearly killed me (the update, not the wind storm), I am resurfacing to provide a few reminders:1. R.I.P. Webcasts: After March 31 you will no longer be able to view Webcasts on FINRA's website. All of the prior c... Read On
Mark Hulbert, whose MarketWatch blog and newsletter track the performance of professional advisors, asks and answers the question for traders:How hard is it to beat the market?"My three decades of tracking investment advisers has shown that, overlong periods of time, about one out of five advisers a... Read On
