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BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

November 26, 2016


It's Thanksgiving and it seems a waste to bother y'all with heavy legal stuff about Wall Street compliance and regulatory problems. As such, enjoy some music videos. Why did I pick these? Dunno . . . sort of just came to me. Maybe the answer is that in these times of change, there is comfort in knowing that the old familiar can be refashioned into the new familiar. Ars longa, vita brevis.

A happy and healthy Thanksgiving to my BrokeAndBroker.com Blog audience.

Bill Singer 


If you had encountered Lisa A. Lewis sometime from 2006 through 2013, you may have told you that she lived in Wisconsin and was an Account Representative with both Fidelity Investments and a Fidelity Brokerage Services. The Wisconsin thing she seems to have gotten right;  as to the rest . . . well, that's the grist for today's BrokeAndBroker.com Blog. By way of a teaser, we got 13 elderly investors who were defrauded out of at least $1 million; and Lewis sentenced to 15 years in federal prison. READ

Former Wells Fargo Rep Shocks Firm With Her Stunning Arbitration Win

We travel back to the days in which the Great Recession awakened and all hell broke loose. At the onset, a female Wells Fargo Advisors registered representative was given two promissory notes; unfortunately, when the end of her employment came, it didn't end well, and Wells Fargo went after its former employee for over $200,000 in promissory note balances. Alas, 2016 hasn't been the best of years for a beleaguered Wells Fargo; and judging by this FINRA Arbitration, the beleaguering isn't done. READ


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