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BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

October 24, 2015

I could attempt to write a brief synopsis of today's featured federal appeal. Sure . . . I could give that a shot; however, a lot of folks would likely accuse me of doing a hatchet job on Wall Street's regulators. Frankly, a hatchet job appears in order but, okay, maybe my hand shouldn't be holding that implement. As such, I'm going to let the federal courts do much of the chopping here. READ

RBC In Breathless Arbitration Over Zombies And Beauty Parlor Fumes

At first blush, it seemed like a fairly garden-variety attempt to collect on the balance of a promissory note. Then came the counterclaim, which included allegations of an unsafe workplace, constructive discharge, and emotional distress. Frankly, it all seemed pretty much tit for tat, as far as these things go. Then came the oddball facts. The beauty parlor next to the branch. The lack of ventilation. The fumes. The headaches and nausea. Walking Zombies!!!! There's something in the air tonight that takes your breath away  --- so just breathe fresh air. READ

Stockbroker Fined and Suspended Over Limited Partnerships and Notes

It's an LP or a note and those are not really securities . . . or so you think; then again, you're not totally sure, particularly about the LP but, hmmm, you sort of recall hearing something, like that. Maybe? Maybe not? Oh well, it's all so confusing and you don't see any reason to notify your brokerage firm about your efforts to solicit investments for the note or LP. Alas, this notice stuff has been troubling folks for a long time. Unfortunately, more often than not, what you think you don't have to do, you do. Consider this recent FINRA settlement.READ

CASE IN POINT With BILL SINGER With Guest Corporate Finance Lawyer Lawrence Nusbaum
Don't Miss Bill Singer's CASE IN POINT Video Series
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October 20, 2015: Bill Singer Speaks With Gusrae Kaplan Nusbaum Law Firm Corporate Finance Partner Lawrence G. Nusbaum III, On The Return Of Corporate Finance, IPOs And A New Surge Of Debt Deals From Small And Mid-Cap Companies On Wall Street. Nusbaum Shares His Thoughts On Which Financial Services Firms Get Hurt The Most In An Increased Regulatory Environment, Whether A Small Broker-Dealer Can Float A $5 To $20 Million Deal Today, And Why Brokers Need To Be Aware Of The Rules When It Comes To Being A "Finder," Or Connecting Investors With Companies Looking For Capital.WATCH

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Conspirators Indicted in Online Malware Attacks Against Financial Accounts

If you enjoy being scared, I guess you can watch one of the Sharknado movies or maybe go for a marathon session of some zombie television series. Of course, Halloween is coming up, so maybe just hang in there a few more days. On the other hand, some recent news stories may scare the crap out of you with just as much effectiveness. Consider the recent announcement by the Department of Justice ("DOJ") that it had purportedly shut down yet another criminal conspiracy to infect computers with botnet malware. READ

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