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Barbara Bottoms
via johnschapman

The investor rights attorneys at Chapman LLC are investigating the activities of registered general securities representative Barbara Bottoms (aka Barbara Alvarez, Barbara Messer, and Barbara Smith; CRD# 1344956), formerly associated with Wells Fargo...
May 2014 Ponzi Scheme Roundup
via theponzibook.blogspot

Posted by Kathy Bazoian Phelps Below is a summary of the activity reported for May 2014. The reported stories reflect: 9 guilty pleas or convictions in pending cases; over 95 years of newly imposed sentences for Ponzi schemers; at least 9 newly discovered...
The Federal Arbitration Act and Access to Justice: Will Recent Supreme Court Decisions Undermine the Rights of Consumers...
via nasaa

WRITTEN STATEMENT OF MIKE ROTHMAN COMMISSIONER OF THE MINNESOTA DEPARTMENT OF COMMERCE ON BEHALF OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION (NASAA) BEFORE THE SENATE JUDICIARY COMMITTEE ...
John Lothian Newsletter: Virtu seeks valuation of $2.59 billion; Bank of America accused of ‘tarnishing’ Merrill Lynch; ...
via johnlothiannews

First Read Connecting: HKEx’s Li Said It Will Help Connect To China’s Trillions JohnLothianNews.com Hong Kong Exchanges and Clearing is all about connecting. HKEx’s CEO Charles Li says his exchange is the linchpin that connects mainland China’s markets...
Bank of America chips away at brokerage industry truce
via strategybg

By Elizabeth Dilts NEW YORK (Reuters) - For the last decade, Wall Street brokerages have had a pact not to sue brokers that leave their firms and try to take clients with them. Now Bank of America BAC.N Merrill Lynch, one of the founding signers of...

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Wealth management news for financial advisors, compensation and recruitment deal information, Fintech products for RIA's, and resources that every financial advisor can use in their broker business.