The Financial Industry Regulatory Authority put out its annual list of New Year’s resolutions yesterday, and one of them is a pledge to keep an eye on the brokers on its naughty list and the people who hire them (often en masse). Read more »

The practice of scurrying from one failing or fraudulent brokerage to another even has a wonderfully evocative name: cockroaching. And the wiliest of the cockroachs, according to the Journal, is Kenneth Dwyer, who’s closed down half of the brokerages he’s worked for but will have to wait awhile to notch his next. Read more »