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BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW

May 5, 2018

FINRA Hardship Waiver Hard To Find

  • After you read today's regulatory case, you may be puzzled. Even after you have digested the facts, you may be unsure whether FINRA is right or its me... Read On

Pro Se Employee Eviscerated in FINRA Employment Expungement Arbitration

  • Mind your manners! Listen up everyone: Wall Street is no longer a rough and tumble, winner-takes-all place. Proper etiquette will now be observed. You... Read On

Solicited System Snafu Stiffs Settling Stifel Stockbroker

  • Oh my. You got a ticket to ride but it's a one-way ticket to the old FINRA slammer. You're supposed to check "BUY" when it's a buy and "SELL" when it'... Read On

UPDATE: Medical Marijuana Biz Goes Up In SEC Smoke

  • WARNING! Today's BrokeAndBroker.com Blog updates its earlier report about a Securities and Exchange Commission case against a medical marijuana c... Read On

Financialindustryregulatory Arthur-Iddy's BrokenCzech Tool

  • In promoting its online BrokerCheck, FINRA asserts that "BrokerCheck is a free tool to research the background and experience of financial brokers, ad... Read On

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