provides free information to RRs and BDs concerning regulatory and
litigation matters. Provocative articles by nationally-known
industry attorney Bill Singer.
FinancialCounsel.com concentrates on arbitration,
litigation and SRO disciplinary actions.
Liddle & Robinson
L.L.P. specializes in various areas of securities law, including
cases involving a broad variety of commercial, corporate, real estate,
and trust and estates issues. The firm has represented employees in
arbitration against their former securities industry employer, claims
relating to advanced compensation agreements. defamation (including
libel on Forms U-5), tortious interference, discrimination, breach of
contract, etc.
SecuritiesLaw.com provides information regarding the
law as it relates to the U.S. financial markets.
In our 18th annual Broker Report Card survey, wirehouse FAs say they are fed up with management ruining their excellent franchises and platforms. Will the great advisor diaspora begin?
Cannons Concepts For Professionals: A Complete Library of Essential Financial Concepts
This reference book was updated for 2008 and now contains over 900 pages of information on essential financial concepts and wealth management strategies for your work with wealthy clients. The book not only contains brief summaries of each topic, but it also contains many useful diagrams and charts that can be used with clients when explaining difficult financial concepts. The information in this book meets current FINRA/NASD guidelines....
