Tags » Broker-Dealer

Sponsors + Vendors = Eye Candy at Financial Conferences?


Every year I take my young daughter to NYC street fairs.  Lots of vendors, but few stand out and make me want to stop, shop and chat with them. 970 more words

Business Law Update - M and A Brokers

Formerly, the SEC has required persons that wish to receive commission from the sales of securities, even in the context of Mergers & Acquisitions (M&A) transactions, the person would need to be a registered broker-dealer.   132 more words


Where Are You Going: Arbitration or Court?

The charge goes out from the client: Sue Them!   Doing the due diligence before drafting a complaint the attorney discovers an agreement between the parties that permits the claim to be filed before an arbitration forum or court. 498 more words

Broker-Dealers Must Act to Protect Themselves

Today broker-dealers are under constant fire.  The pressure comes from various sources: (i) the industry wanting to ensure investors they are being protected; (ii) FINRA enforcement investigations; and (iii) clients demanding positive returns regardless of the trading strategy they selected and approved. 204 more words