WaMu Loses Solicitation FINRA Arbitration Against Former RRs

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Jul 21, 2011 9:47 am
WaMu Loses Solicitation Case Against
Former Brokers

Wall Street professionals will find today's column of particular interest as it explores the ever-thorny issues of what constitutes an inappropriate "solicitation" of clients after you've left an employer.  In that context, you will read about Temporary Restraining Orders, Permanent Injunctions, and what the burden of proof is to prevail against former employees.  A must read for all registered persons: WaMu Loses Solicitation Case Against Former Brokers

Break Up the Securities and Exchange Commission

Don't forget to read and pass on to your colleagues, Bill's red-hot commentary responding to SEC Chair Schapiro's call for more staff and more funding. It's time that someone finally stood their ground and stood up against the burgeoning mess of runaway regulatory bureaucracy. Read: #800080; font-size: medium;">Break Up the Securities and Exchange Commission