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BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW

January 26, 2019

http://brokeandbroker.com/PDF/StoneIndict.pdf
READ the INDICTMENT alleging one count of obstruction of an official proceeding, five counts of false statements, and one count of witness tampering.

http://www.brokeandbroker.com/4400/aegis-frumento-female-advisors/
Women are well-positioned to turn Wall Street on its head. Women investment styles lean towards solid and honest financial planning. It's no surprise, then, that almost a quarter of all CFP's are women, and growing. It's also no surprise that women investors prefer dealing with women advisers. Women investors find women advisers to be less patronizing, more empathetic to their individual needs and concerns, and generally more "in sync" with their unique financial goals than typical male advisers.

 http://www.brokeandbroker.com/4401/finra-expungement-merrill/
You know how something bothers you but you decide to try and ignore it, but the longer you try to ignore it, the more it bothers you? The old festering wound . . . and it is brought to life in all its glory in today's blog about a 2009 customer complaint that slowly and painfully prompted a 2019 stockbroker's expungement. There's also an intriguing thought-piece about whether a stockbroker should ever fire a client.

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