brokers

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Obama is Only Half Right – $17 Billion is the Tip of the Iceberg for Investors

When Obama recently spoke before the AARP he called for higher standards on stockbrokers who provide investment advice and services for retirement assets. His comments […]

Update to Accredited Investor Definition Coming

The Securities and Exchange Commission recently met to discuss and hash out whether it should revise the standards that define an “accredited investor”.  Broker dealers […]

Stockbrokers Disclosure Proposed Rule Pulled

FINRA has withdrawn a controversial proposed rule that would have forced stockbrokers to tell their clients why they decided to work at a given brokerage […]

Investor Credit Where Credit is Due

The SEC is currently examining potential changes to its definition of “accredited investor.” Section 413(b)(2)(A) of the Dodd-Frank Act of 2010 states that the SEC […]

High Frequency Trading: Luddites, Regulators and Antiquated Factories

Luddites don’t like high frequency trading.  Luddites were  textile workers who protested against newly developed labor-saving machinery in the early 19th century so the term […]

By |July 9th, 2014|Categories: Wall Street|Tags: , , , , |0 Comments

3 Stock Brokers Accused of Securities Misconduct by Customers

Rockwell Global Capital LLC (Rockwell)  stock brokers Robert E. Lee Jr., Douglas Guarino, and Lawrence Lee have been the subject of at least 29 combined […]