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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,…

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The information contained in this web site, and its associated web sites, is provided as a service to the Internet…

SDNY Defines Customer under FINRA Rule 12200

Judge Laura Taylor Swain of the Southern District of New York has issued a decision defining a customer, for purposes…

Everyone Does It Defense Falls Short

Even coupled with the ever popular "I didn't know it was a crime" defense, an Investment Advisor loses. Lessons in…

Securities Lawyer – Arbitration, Mediation, Litigation

Nationally recognized securities lawyer Mark Astarita's personal law page. Representing investors and brokers across the country for 30 years. Source:…

Who regulates the stock market in the US?

The stock market has many different regulators. The primary regulator is the Securities and Exchange Commission. The stock markets are…