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BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW

August 20, 2022

https://www.brokeandbroker.com/6615/aegis-frumento-insecurities-whistleblower/
Veteran lawyer Aegis Frumento warns that being a whistleblower is not for the faint of heart. Wannabe whistleblowers often torpedo their careers by standing up to illegal conduct. The investing public often benefit from such sacrifices but the tipsters may pay a heavy price. Then again, that's why the lure of a Whistleblower Award is so enticing. Unfortunately, the law does not make recovery of awards easy for those who blew the whistle. As Frumento sees it, whistleblowers often end up drenched in a hard rain falling.

https://www.brokeandbroker.com/6614/mastroianni-doj-finra/
In today's blog, author Bill Singer is taking advantage of a golden opportunity to show the investing public how a minimal amount of due diligence involving only a few minutes (at most) may reveal inconsistencies between what an investing professional is presenting to you as his/her bona fides. In many cases, there may be reasonable explanations as to various dates and prior employment. In other cases, you may come away with more questions and few answers. Regardless, not enough investors kick the tires and take a test drive. Hopefully, this blog will serve as an eye-opener.

https://www.brokeandbroker.com/6613/ifs-westworld/
It's summer. It's a Wednesday. BrokeAndBroker.com's dashing, debonair, and effervescent personality Bill Singer is in a whimsical mood. Or perhaps it's gas from one too many burritos. With Bill you just never know. Whimsy or flatulence aside, Bill's sort of hot and tired and not really in a particularly serious mood today. On top of that, what the hell was with the final season of Westworld? Was that Dolores or not, and more to the point, that's four years out of my life that I won't get back. But, I digress. Yeah, but, c'mon: "Halores?" That's the best you could come up with? Really? One last loop around the bend. Maybe this time we'll set ourselves free. I don't think so.

https://www.brokeandbroker.com/6612/td-ameritrade-u5-negligent/
A panel of three FINRA arbitrators found TD Ameritrade's management to have been grossly negligent and failing to use due diligence. Okay, sure, the victimized associated person won damages but there just doesn't seem to be any regulatory consequences for TD Ameritrade. That gap in Wall Street's regulatory scheme always seems to favor the big boys to the detriment of the small fry. Time and time again this same quirk in FINRA's oversight pops us but the self-regulatory-organization just doesn't respond -- or, perhaps, just doesn't give a damn. 

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