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12/30/2004· Finance

If You Are Searching For Answers

By: Andrea Joyce Wagner, Coletta L. Dorado

AS AN INVESTOR, you too may have experienced that uncomfortable feeling of not knowing how to read your monthly statement showing activity and positions or other documents sent to you by your brokerage firm

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8/26/2015· Finance

FINRA Code of Arbitration and Discovery Guidelines

By: Bob Lawson

In FINRA-related cases many attorneys see discovery requests objected to by opposing counsel. Typically, opposing counsel objects to discovery requests citing that items requested are either "overly broad, vague, or ambiguous", or "impermissible per FINRA's Code of Arbitration Procedure". However, despite opposing counsel's reasoning, many objections to discovery requests are irrelevant and do not hold up in regard to FINRA's Code of Arbitration Procedure. Attorneys should not be intimidated or discouraged by these objections, but rather should understand that FINRA's guidelines concerning arbitration allow for most applicable and reasonably obtainable discovery information to be delivered.

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9/23/2015· Finance

FINRA Dispute Resolution Essentials

By: Bob Lawson

I receive phone calls throughout the year from attorneys who have taken on their first FINRA case and they frequently are unaware how the FINRA Dispute Resolution process differs from other venues. I thought it would be helpful to provide a quick overview for new participants and a refresher for those more experienced securities attorneys on how the FINRA Arbitration and Mediation process works.

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9/30/2008· Banking

What Banking Regulators Want: A Guide to Bracing For Your Next Examination

By: Catherine A. Ghiglieri

Bankers are hearing horror stories about examiners’ demands and are confused as to how to plan for their next examination. What should they focus on? And will those things be the wrong things when the examiners come into their bank

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4/21/2009· Banking

Banking Regulation: Now is Time to do Away with the Too Big To Fail Doctrine

By: Catherine A. Ghiglieri

For almost thirty years, bank regulators have operated under the Too Big To Fail (TBTF) Doctrine, whereby insolvent large banks are treated differently than insolvent community banks by keeping the large banks open and closing the community banks. Now is the time to do away with TBTF once and for all

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10/1/2015· Finance

Effective Commercial Collection Techniques

By: Darryl Horowitt

It is an unfortunate fact of business that from time to time one of your customers will not pay for goods or services you provide. It is a frustrating and sometimes helpless feeling that you have knowing that even though you provided a valuable product or service, for reasons beyond your control you are simply not paid. How do you collect your money? What follows are some techniques that will help you effectively collect your receivables.

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2/10/2014· Finance

General Motors Joins Yogi Berra

By: Dr. Kenneth E. Lehrer

Even with creative financing, accounting techniques and decreased profit margins, the American automobile industry appears unable to sustain itself and has suffered significant losses, especially in recent years. Given these realities, it would seem prudent to rely upon baseball and the one special feature they have enjoyed via compliments of a United States Supreme Court Decision in 1922, namely exemption under the Antitrust Laws, basically Sherman and Clayton Acts.

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3/12/2014· Finance

An Easy Assist for an Overlooked but Tough Group

By: Dr. Kenneth E. Lehrer

There are few groups more reliable than the United States military. One could change all of their mottoes to "Again and again - no questions asked." Those who have served in the military have done so at a solid financial cost. Despite this, the years of the 1950s, 1960s and even into the 1970s were periods with high savings rates, rates that today appear almost unachievable. How did they save so much, seek to enjoy life so fully and raise another generation, the Baby Boomers?

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6/28/2018· Computers

Blockchain vs. Trust : Cryptic Expert Issues

By: Dr. Stephen Castell

The Reg A Conference is the largest gathering of deal-makers and investors interested in Regulation A, a prime opportunity for companies to network with like-minded business executives, as well as financial professionals who assist in bringing capital to companies (https://theregaconference.com/presenting-companies/). Many such companies are today basing their new business ventures and projects, and their search and submissions for funding, on blockchain technology applications. So-called cryptocurrencies such as bitcoin are just one example of the use of this functionality. The business implications of this secure online record-keeping tech are huge – and not only in cryptocurrency. This presentation provides a probing and extensive expert critique of blockchain, its cryptocurrency, distributed ledger and smart contract applications, and argues for a cautionary, savvy approach to implementing and investing in such business systems, on grounds of professional due diligence, rigorous corporate governance and wide experience of past leading-edge ICT systems failures.

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2/18/2005· Finance

Aristocracizing America

By: Herbert B. Siegel, PhD

Beginning with The Bank Holding Act of 1956 that exempted Industrial Loan Companies from federal banking regulations except for keeping them eligible for government- sponsored FDIC insurance, these secondary lenders were a valuable source of high interest loans to a public segment otherwise unbankable. A financial stranglehold has proliferated on all citizens, however, because of misusing an otherwise well conceived statute

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