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Topic List for T Blog (166 results)
GUEST BLOG: [In]Securities: The Influencers: The SEC Grounds Stars' TRX by Aegis Frumento Esq
March 31, 2023
GUEST BLOG: [In]Securities: Wanting to Break Free: The Delaware Chancery Court Strikes Down Cantor Fitzgerald's Non-Compete Clauses by Aegis Frumento Esq
March 24, 2023
GUEST BLOG: [In]Securities: No Silver Linings for Silver Edge: How Not to Sell Pre-IPO Funds by Aegis Frumento Esq
March 10, 2023
GUEST BLOG: [In]Securities: DOJ Rides a Horse with No Name: Rule 10b5-1 Plans Cannot be Fraudulently Misused
March 3, 2023
GUEST BLOG: [In]Securities: Trading Cards as a Meditation: Are NTFs Securities? by Aegis Frumento Esq
September 9, 2022
GUEST BLOG: [In]Securities: Puff!: The SEC Slays DRGN by Aegis Frumento Esq
August 26, 2022
GUEST BLOG: [In]Securities: A Hard Rain's A-Gonna Fall: A Whistleblower Retaliation Case Washes Out by Aegis Frumento Esq
August 19, 2022
GUEST BLOG: [In]Securities: Lip Service: The SEC, Reg S-ID, and the Majestic Equality of Regulation by Aegis Frumento Esq
August 5, 2022
GUEST BLOG: [In]Securities: They're All Here: The Three Circles of Securities Fraud Hell by Aegis Frumento Esq
July 22, 2022
GUEST BLOG: [In]Securities: Watching You: The SEC Walks the Beat by Aegis Frumento Esq
July 15, 2022
Guest Blog: Fair Credit Reporting Act (FCRA) and Regulation S-P by Regulated or Aggrieved
July 11, 2022
GUEST BLOG [In]Securities: Lyin' Eyes: Securities Fraud or Just Plain Fraud? by Aegis Frumento Esq
July 8, 2022
GUEST BLOG [In]Securities: Highwaymen: The SEC Pulls Off a Brinks Heist by Aegis Frumento Esq
July 1, 2022
GUEST BLOG [In]Securities: Jive Talkin': The SEC Busts a Braggin' Broker by Aegis Frumento Esq
June 24, 2022
GUEST BLOG [In]Securities: Man in the Mirror: The SEC Looks into the Mirror Protocol by Aegis Frumento Esq
June 17, 2022
Guest Blog: Now You See It, Now You Don't by "Regulated or Aggrieved"
June 15, 2022
GUEST BLOG [In]Securities: Buck Nekkid: The SEC on Full Frontal Disclosure by Aegis Frumento Esq
June 10, 2022
GUEST BLOG; Still Fighting the Wall Street Bullies by Stephen Kohn
April 19, 2022
GUEST BLOG: Advisor Perspectives - An Interview with Recently Transitioned Advisors by Michael King of Michael King Associates
April 14, 2022
GUEST BLOG [In]Securities: To Grand Central Station by Aegis Frumento Esq
September 11, 2021
GUEST BLOG [In]Securities: Everybody Knows by Aegis Frumento Esq
July 23, 2021
GUEST BLOG: Transitioning to Independence by Michael King of Michael King Associates
July 16, 2021
GUEST BLOG [In]Securities: Tell Me Lies by Aegis Frumento Esq
July 9, 2021
GUEST BLOG [In]Securities: Bird on a Wire by Aegis Frumento Esq
June 18, 2021
GUEST BLOG: FINRA Withdraws Proposed Expungement Rule by Nancy L. Hendrickson Esq
June 2, 2021
GUEST BLOG [In]Securities: Oh No by Aegis Frumento Esq
May 21, 2021
GUEST BLOG [In]Securities: Mind Games by Aegis Frumento Esq
May 7, 2021
GUEST BLOG: Considering Breaking Away from a Wirehouse? The Pros and Cons of Going Independent by Michael King of Michael King Associates
April 1, 2021
GUEST BLOG [In]Securities: The Impossible Dream by Aegis Frumento Esq
March 26, 2021
GUEST BLOG [In]Securities: Singin' the Varsity Blues, Part 3: Walkin' That Lonesome Valley by Aegis Frumento Esq
March 12, 2021
GUEST BLOG: COVID-19's Impact on Financial Advisors / How the Pandemic is Changing the Way Advisors Work by Michael King of Michael King Associates
February 26, 2021
GUEST BLOG [In]Securities: Instant Karma By Aegis Frumento Esq
February 19, 2021
GUEST BLOG [In]Securities: Soon May the Tendieman Come By Aegis Frumento Esq
February 5, 2021
GUEST BLOG [In]Securities: A Worried Song By Aegis Frumento Esq
January 22, 2021
GUEST BLOG [In]Securities: No-Hopers, Jokers and Rogues By Aegis Frumento Esq
January 8, 2021
GUEST BLOG [In]Securities: Ringing Out for Christmas Day By Aegis Frumento Esq
December 24, 2020
GUEST BLOG [In]Securities: Sometimes, a Man of Peace By Aegis Frumento Esq
December 11, 2020
GUEST BLOG [In]Securities: Missing a Crowded Table By Aegis Frumento Esq
November 25, 2020
GUEST BLOG [In]Securities: Eggs from the Golden Goose By Aegis Frumento Esq
November 20, 2020
GUEST BLOG: Bill Singer Talks To Industry Recruiter Michael King of Michael King Associates
November 19, 2020
[In]Securities Guest Blog: Singing An American Tune By Aegis Frumento Esq
November 6, 2020
[In]Securities Guest Blog: A Different Kind of Truth By Aegis Frumento Esq
October 23, 2020
[In]Securities Guest Blog: Don't Know Much by Aegis Frumento Esq
October 9, 2020
[In]Securities Guest Blog: tZero/No Limit by Aegis Frumento Esq
September 25, 2020
GUEST BLOG: Bill Singer Talks To Industry Recruiter Michael King of Michael King Associates
September 2, 2020
GUEST BLOG: Bill Singer Talks To Industry Recruiter Ron Edde of Millennium Career Advisors
August 26, 2020
[In]Securities Guest Blog: Take it Easy by Aegis Frumento Esq
August 13, 2020
[In]Securities Guest Blog: The Royal Scam by Aegis Frumento Esq
August 6, 2020
[In]Securities Guest Blog: Out of Touch, Out of Luck by Aegis Frumento Esq
July 30, 2020
[In]Securities Guest Blog: When You Don't Know What It Is by Aegis Frumento Esq
July 23, 2020
[In]Securities Guest Blog: Click Boom by Aegis Frumento Esq
July 16, 2020
[In]Securities Guest Blog: Good, Bad and Ugly by Aegis Frumento Esq
July 9, 2020
[In]Securities Guest Blog: Freedom Flashing by Aegis Frumento Esq
July 3, 2020
[In]Securities Guest Blog: Manicula's Gopher by Aegis Frumento Esq
June 25, 2020
[In]Securities Guest Blog: Gambling Man by Aegis Frumento Esq
June 19, 2020
[In]Securities Guest Blog: School's Out for Summer by Aegis Frumento Esq
June 11, 2020
[In]Securities Guest Blog: As Hollow as it Seems by Aegis Frumento Esq
June 4, 2020
[In]Securities Guest Blog: The End of the Line by Aegis Frumento Esq
May 28, 2020
[In]Securities Guest Blog: Dear Prudence by Aegis Frumento Esq
May 21, 2020
[In]Securities Guest Blog: Troubled Water Over the Bridge by Aegis Frumento Esq
May 14, 2020
[In]Securities Guest Blog: Marconi Plays the Mamba by Aegis Frumento Esq
May 7, 2020
[In]Securities Guest Blog: Get What You Need by Aegis Frumento Esq
April 30, 2020
[In]Securities Guest Blog: Life's for the Living by Aegis Frumento Esq
April 23, 2020
Guest Blog: Riddle of the FINRA Sphinx by Stephen Kohn
April 22, 2020
[In]Securities Guest Blog: Small Worlds by Aegis Frumento Esq
April 16, 2020
[In]Securities Guest Blog: Hello In There by Aegis Frumento Esq
April 9, 2020
[In]Securities Guest Blog: Breathless by Aegis Frumento Esq
April 2, 2020
[In]Securities Guest Blog: In Dreams by Aegis Frumento Esq
March 26, 2020
[In]Securities Guest Blog: Who's Zoomin' Who by Aegis Frumento Esq
March 19, 2020
[In]Securities Guest Blog: Not Going Back to My Old School by Aegis Frumento Esq
March 12, 2020
[In]Securities Guest Blog: The Fever by Aegis Frumento Esq
March 5, 2020
[In]Securities Guest Blog: Blinded by the Light by Aegis Frumento Esq
February 27, 2020
[In]Securities Guest Blog: Something Built to Last by Aegis Frumento Esq
February 20, 2020
[In]Securities Guest Blog: A Political World by Aegis Frumento Esq
February 13, 2020
Guest Blog: The 10 Warning Signs of a Crypto Scam by Jesus Cedeno
February 6, 2020
[In]Securities Guest Blog: Rolled Up and Smoked by Aegis Frumento Esq
January 30, 2020
[In]Securities Guest Blog: Driving That ESOP Trolley by Aegis Frumento Esq
January 23, 2020
[In]Securities Guest Blog: Drunk on a Plane by Aegis Frumento Esq
January 16, 2020
[In]Securities Guest Blog: Born to be Wild by Aegis Frumento Esq
January 9, 2020
[In]Securities Guest Blog: And So This Is Christmas by Aegis Frumento Esq
December 24, 2019
[In]Securities Guest Blog: Not Dead Again Today? by Aegis Frumento Esq
December 19, 2019
[In]Securities Guest Blog: Lawyers, Guns and Money by Aegis Frumento Esq
December 12, 2019
[In]Securities Guest Blog: WeWork Works It Out by Aegis Frumento Esq
December 5, 2019
[In]Securities: Who'll Be Watching Whom? by Aegis Frumento Esq
November 21, 2019
[In]Securities Guest Blog: Everybody Knows by Aegis Frumento Esq
October 31, 2019
[In]Securities Guest Blog: The Man in the Long Black Coat by Aegis Frumento Esq
October 24, 2019
[In]Securities Guest Blog: Make It So by Aegis Frumento Esq
October 17, 2019
[In]Securities Guest Blog: Singin' the Varsity Blues, Part 2: Whose Intentions Are Good by Aegis Frumento
October 3, 2019
[In]Securities GUEST BLOG: Fantasy by Aegis Frumento Esq
September 26, 2019
[In]Securities GUEST BLOG: Hit the Road, Jack by Aegis Frumento Esq
September 19, 2019
[In]Securities GUEST BLOG: Not the One You Need by Aegis Frumento Esq
September 12, 2019
[In]Securities GUEST BLOG: Walk Like a Man by Aegis Frumento, Esq
September 5, 2019
FINRA's Hearing Officers Are 70% Former FINRA and 30% Former SEC
August 2, 2019
GUEST BLOG: FINRA Hearing Process . . .BIAS . . . Real or Perceived???
August 1, 2019
GUEST BLOG: Sittin' On the Dock by Aegis J. Frumento Esq
July 25, 2019
GUEST BLOG: What Can We Do To Increase Diversity? by Linde Murphy
July 19, 2019
GUEST BLOG: Standing on the Moon by Aegis Frumento Esq
July 18, 2019
GUEST BLOG: Being Evil by Aegis Frumento Esq
June 6, 2019
GUEST BLOG: Earning It, For Our Brothers In Arms by Aegis Frumento, Esq
May 30, 2019
GUEST BLOG: FINRA Chokes on a Smoking Ear by Aegis Frumento Esq
May 23, 2019
GUEST BLOG: . . . and I Feel Fine by Aegis Frumento Esq
May 16, 2019
GUEST BLOG: The Game of Coins by Aegis Frumento Esq
May 9, 2019
GUEST BLOG: Acts of Code by Aegis Frumento Esq
May 2, 2019
GUEST BLOG: Overlooking Maple Street by Aegis Frumento Esq
April 25, 2019
GUEST Blog: The Strangled Cries of Lawyers in Love by Aegis Frumento Esq
April 18, 2019
GUEST BLOG: Inversions by Aegis Frumento Esq
April 11, 2019
GUEST BLOG: Lorenzo's Oil Slick by Aegis Frumento Esq
April 4, 2019
GUEST BLOG: Bitwise and Fund-Foolish by Aegis Frumento Esq
March 28, 2019
GUEST BLOG: Singin' the Varsity Blues: Leave Them Kids Alone by Aegis Frumento Esq
March 21, 2019
GUEST BLOG: OneCoin's Whorl of Woe by Aegis Frumento Esq
March 14, 2019
GUEST BLOG: In for a Pound by Aegis Frumento Esq
March 7, 2019
GUEST BLOG: Weird Apple Pickings by Aegis Frumento Esq
February 28, 2019
GUEST BLOG: That River of Dreams by Aegis Frumento Esq
February 21, 2019
GUEST BLOG: To Hold and Have Not by Aegis Frumento Esq
February 14, 2019
GUEST BLOG: Gods Help Us, Every One by Aegis Frumento Esq
February 7, 2019
GUEST BLOG: The Hard Fork in DAO Road by Aegis Frumento Esq
January 31, 2019
GUEST BLOG: Who Run the World? by Aegis Frumento Esq
January 24, 2019
GUEST BLOG: The SEC's Gagging Rights by Aegis Frumento Esq
January 17, 2019
GUEST BLOG: Tucker Carlson, AOC, and the 70% Tax Rate by Aegis Frumento Esq
January 10, 2019
OPEN CALL for Guest Bloggers for the BrokeAndBroker.com Blog
January 7, 2019
GUEST BLOG: Bitcoin is Not Blockchain's Best Use Case by Aegis Frumento Esq
January 3, 2019
GUEST BLOG: This Christmastide by Aegis Frumento Esq
December 24, 2018
GUEST BLOG: Dishonorable Services by Aegis Frumento Esq
December 20, 2018
GUEST BLOG: Beta Blockers by Aegis Frumento Esq
December 13, 2018
GUEST BLOG: Blaming Nobody by Aegis Frumento Esq
December 6, 2018
GUEST BLOG:The SEC Plucks a Chicken by Aegis Frumento Esq
November 29, 2018
GUEST BLOG: Giving Thanks by Aegis Frumento Esq
November 22, 2018
GUEST BLOG: Pragmatic Federalism In a Blockchained World by Aegis Frumento Esq
November 15, 2018
GUEST BLOG: A Pulitzer Prize for Risk Disclosures? by Aegis J. Frumento Esq
November 8, 2018
GUEST BLOG: Here Be Dragons by Aegis Frumento Esq
November 1, 2018
GUEST BLOG: The Soft-Headed Side of Sears by Aegis Frumento Esq
October 25, 2018
GUEST BLOG: FINRA Dictator of Dispute Resolution by Dochtor Kennedy, Esq
October 24, 2018
GUEST BLOG: The Million Dollar Bottle by Aegis Frumento Esq
October 18, 2018
GUEST BLOG: The Invisibly Vulnerable Pre-Retirees by Aegis Frumento
October 11, 2018
GUEST BLOG: Beating a Hasty Retweet by Aegis Frumento Esq
October 4, 2018
GUEST BLOG: All You Need Is A TCR and a Dream by Aegis Frumento Esq
September 27, 2018
GUEST BLOG: A Tale of Two Tables by Aegis J. Frumento Esq
September 18, 2018
GUEST BLOG: How the SEC Would Run (and Ruin) Your Firm by Aegis Frumento Esq
September 13, 2018
GUEST BLOG: Labor's Belabored Day by Aegis Frumento Esq
September 6, 2018
OPEN CALL: Guest Bloggers Wanted for the BrokeAndBroker.com Blog
September 3, 2018
GUEST BLOG: Twits or Tweeters by Aegis Frumento
August 30, 2018
GUEST BLOG: Of Trust, Lattes and Blockchains by Aegis Frumento Esq
August 23, 2018
GUEST BLOG: Big Changes Coming for Small Firms by John Busacca
August 22, 2018
GUEST BLOG: A Trillion Reasons By Aegis J. Frumento, Esq.
August 16, 2018
GUEST BLOG: Securities Fraud? Or Just Bullshit? by Aegis Frumento, Esq
August 7, 2018
GUEST BLOG: That Long Strange Trip from SunTrust to Wells Fargo by Aegis Frumento Esq
August 2, 2018
GUEST BLOG: A Suicide on Wall Street
June 13, 2018
GUEST BLOG: R.I.P. PCAOB Audits by Stephen Kohn
June 12, 2018
GUEST BLOG: Whistleblown by Michael Schwartz
August 1, 2017
GUEST BLOG: Dinosaur in the Room by Stephen Kohn
June 5, 2017
OPEN CALL for Guest Bloggers for BrokeAndBroker.com Blog
May 22, 2017
GUEST BLOG: At the SEC, One Year Equal 1,825 Days
May 22, 2017
GUEST BLOG: Are Decepticons Duplicitous? by Stephen Kohn
April 28, 2017
GUEST BLOG: Flawed Attempt for a Good Idea
April 7, 2017
Blizzard Hits Wall Street But A Little Birdie Sings!
March 14, 2017
GUEST BLOG: Breaking Fake News / THE FIDUCIARY DUTY RULE IS DEAD!!
February 23, 2017
OPEN CALL for Guest Bloggers for BrokeAndBroker.com Blog
February 9, 2017
OPEN CALL for BrokeAndBroker.com Blog Guest Contributors
February 7, 2017
GUEST BLOG: This Way to Financial Services Reform
February 6, 2017
Safeguarding Retirees from Getting Cheated out of Their Social Security Payments
October 14, 2016
OPEN CALL For BrokeAndBroker.Com Blog Guest Contributors
September 19, 2016
GUEST BLOG: Who Is A Customer For Purposes of FINRA Arbitration Rule 12200 by Martin P. Unger Esq
September 16, 2016
The Best Offense Is A Good Defense
September 9, 2016
Cyber Security for Financial Firms
September 1, 2016
Compliance Is A Sentence, Not A Word
August 26, 2016
Do I Need to Notify the DOL About My RIA's Reliance on the Best Interest Contract Exemption?
July 18, 2016
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Teleconference
Finder\'s Fee
Rule 12203
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Jarkesy
Nationwide
ESOP
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LIBOR
AXA
YouTube
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SDOH
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ESG
CE
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Pham
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Lorenzo
Nicolas Corcione
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Rule 21F-17
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expenses
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JAMS
In Connection With
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MAP
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false statements
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Rule 13206
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UIT
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Burden of Proof
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Harris
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Bill singer
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Solomon
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Willfull
Nietzsche
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TradeStation
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