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Bored Traders on Tinder Are a Symptom of Wall Street Revenue Dip

One bond trader says he’s been slipping out early to watch his kids play sports. A fund manager says his…

The Wells Notice

Receiving a subpoena from the SEC, or an 8210 Request from FINRA can be the start of a long investigative…

Was the Account Churned?

Churning is excessive trading in a customer’s account by a broker taken in the context of the customer’s financial situation…

FINRA, States enact new rules to fight elder abuse 

FINRA is following many states in pressing forward with a rule that aims to give advisers more tools to combat…

Here’s How To Become A Millionaire By 65 – Simplemost

Becoming a millionaire can seem like a pretty lofty goal — or even just a fantasy — but according to…

Goldman Sachs Sues Two Ex-Executives Over Client Poaching – Bloomberg

Goldman Sachs Group Inc. sued two former vice presidents in the bank’s private wealth management unit in Chicago, claiming they…

How Banks Are Losing Clients to Their Own Employees – Bloomberg

Morgan Stanley could do little but watch as a team of advisers overseeing $2.2 billion in assets quit last month…

Congress Still Trading On Non-Public Information?

Even a looming scandal wouldn’t deter some of Congress’ most eager stock traders." This article from Politico details the outrageous…

The 25 Highest-Earning Hedge Fund Managers And Traders

2016 wasn't as good a year for the top hedge fund managers as prior years, but they all did pretty…

Brokers Can Win Promissory Note Cases

We all know that defending promissory note cases for brokers is difficult. After all, those notes have been written, revised,…