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BrokeAndBroker.com Blog by Bill Singer Esq

July 26, 2022

https://www.brokeandbroker.com/6567/stephen-kohn-finra-board/
FINRA Small Firm advocate Stephen Kohn is running for the FINRA 2022 Small Firm Governor. Stephen is supported by many reform voices in the FINRA Small Firm community, and is endorsed by Bill Singer, Esq., the publisher of the Securities Industry Commentator and the BrokeAndBroker.com Blog. VOTE FOR STEPHEN KOHN!!!! Read More . . .

https://www.brokeandbroker.com/6566/fidelity-finra-ndil/
Fidelity Brokerage Services LLC filed a FINRA Arbitration Statement of Claim against a former employee citing her alleged misuse of confidential customer information. Then, on a second track, Fidelity chugs into federal court with another lawsuit, which prompted amended complaints and counterclaims, and the addition of a non-FINRA-member-firm. On top of that, the former employee filed her own claims involving alleged age and sex discrimination. What's arbitrable? What's not? Where should all of this get decided? Should one of the litigation trains get stopped in its tracks? Read More . . .


Fidelity Brokerage Services Has Two Trains Runnin' in FINRA Arbitration and Federal Court (BrokeAndBroker.com Blog)

If you lost money in crypto, here's how you can get some back / Investors want to flee crypto funds, like those at Anthony Scaramucci's SkyBridge. And regulators are MIA. But there are tax moves that can help ease the pain of losses. (Philadelphia Inquirer by Erin Arvelund)

About $7 Million in Compensatory/Punitive Damages and Fees Awarded in FINRA Arbitration Citing Securities America, Inc. and Others in Sale of Financial Advisory Practice
In the Matter of the Arbitration Between Theresa Irene Stone, et al., Claimants, v. Securities America, Inc., et al., Respondents (FINRA Arbitration Award)

Notice of Annual Meeting of FINRA Firms and Election Proxy (FINRA Election Notice)
VOTE FOR STEPHEN A. KOHN FOR SMALL FIRM GOVERNOR

GUEST BLOG: FINRA and Another Nail . . . A Personal Message From Stephen Kohn, Candidate for FINRA 2022 Small Firm Governor (BrokeAndBroker.com Blog)

CEO of Titanium Blockchain Pleads Guilty in $21 Million Cryptocurrency Fraud Scheme (DOJ Release)

SEC Charges Former Indiana Congressman with Insider Trading/ Stephen Buyer allegedly used inside information to buy $1.5 million in stocks (SEC Release)

SEC Files Multiple Insider Trading Actions Originating from the Market Abuse Unit's Analysis and Detection Center (SEC Release)

Delray Beach Woman Sentenced To 30 Months In Prison For Her Role In International Boiler Room Conspiracy (DOJ Release)

Another SEC Whistleblower Treated Like Crap and Failed by the Law
Victor Hong, Petitioner, v. United States Securities and Exchange Commission, United States of America, Respondents (2Cir Opinion)

6Cir Lacks FAA Jurisdiction to Enjoin FINRA Arbitration
Carolyn Valentine, CPA, Plaintiff/Appellant, v. Health and Wellness Lifestyle Clubs, LLC, Defendant/Appellee (6Cir Opinion)

Movie Producer Sentenced to Over 21 Years for Role in Film Financing Scheme (DOJ Release)

Comment on the Financial Accounting Foundation Draft Strategic Plan by SEC Commissioner Hester M. Peirce and Commissioner Mark T. Uyeda

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