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Search for promissory note (907 results)
UPDATE: The SEC's Netflix/Reed Hastings Policy and @GaryGensler and @SECGov and the SIM Swap Hack
January 23, 2024
SEC's X Account Compromised Via Phone Number and Lack of Two-Factor Authentication
January 10, 2024
After a 26-Year Regulatory Nap, FINRA Discovers Firm's WSPs Are Inadequate
January 8, 2024
FINRA Bars Its Arbitration Forum to TDA Customer Citing Unspecified Risks of Health And Safety
January 4, 2024
Former Merrill Lynch Rep Stuck In FINRA Arbitration Expungement Turnstile
January 3, 2024
An Unsympathetic Federal Court Sustains Unexplained FINRA Arbitration Award
December 27, 2023
D.A Davidson Wins Unjust Enrichment Arbitration Against Ghost of Christmas Present Former Employee
December 14, 2023
Double Standards In State Regulation and Self Regulation of Wall Street's Large Firms
November 20, 2023
UPDATE: Federal Court Confirms Multi-Million Dollar FINRA Arbitration Award for Charles Schwab Against Morgan Stanley
November 6, 2023
Divorced Customer Sues Morgan Stanley Over Bond Purchases
October 25, 2023
Former Rep Sues for Compensation After Involuntary Termination
October 23, 2023
UPDATE: Scrambling to Keep Pace With The SEC Unbearable Load of Rulemaking
October 17, 2023
The Frustrations And Atrocities Experienced by Merrill Lynch Customers
October 12, 2023
Kabuki Theater at the Senate Banking Committee Starring SEC Chair Gensler
September 13, 2023
2023 FINRA Election Boycott: Awaiting the Tally
September 6, 2023
The Hidden FINRA Arbitration Costs for Not Repaying a Promissory Note
September 6, 2023
Two Towering Dissents Against CFTC Order Involving Goldman Sachs
September 1, 2023
SEC Dismisses Attempt to Do Something About a FINRA AWC
August 14, 2023
FINRA Can't Quite Put a Name On It: Perjury or False Testimony or Misleading Testimony
July 31, 2023
SEC Chief Accountant Lays a Cobblestone on the Road to Hell Paved with Good Intentions
July 28, 2023
A Lawyer Wearing Two Hats Raises the Ire of the SEC in Motion to Compel Production of Documents
July 27, 2023
A Not So Final Closing of the Purchase of a Broker Dealer
July 26, 2023
FINRA Has Some 'Splaining To Do As Arbitrators Deny Gender Discrimination Claims
July 24, 2023
Court Denies Vacatur of Over $2 Million FINRA Arbitration Award Involving Disputed Customer Transfer and Asset Purchase Agreement
June 21, 2023
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
June 10, 2023
Federal Circuit Court Says Price Isn't Right In UBS Whistleblower Retaliation
June 7, 2023
Branch Manager and FINRA Fail to See Red Flags of Unsuitability Involving Senior Customers
June 6, 2023
FINRA Took Wells Fargo Stockbroker Outback to a Bar and SEC Says It's The Last Round
June 1, 2023
FINRA Pulls Its Punches In Felony Non-Disclosure Settlement
May 22, 2023
FINRA Fines and Suspends Rep For Borrowing from Friend During Covid Pandemic
May 18, 2023
FINRA Board of Governors Fails to Confront Goldman Sachs $215 Million Gender Discrimination Settlement
May 10, 2023
SEC Says No Second Bite of FINRA Expungement Apple
May 9, 2023
Securities Industry Commentator by Bill Singer Esq
May 5, 2023
A Call for Boycott: FINRA Board of Governors' Cowardly Silence Becomes Thunderous
May 1, 2023
FINRA Arbitrators Checkmate SunTrust With Punitive Damages for Misuse of Rep's Name and Picture
April 24, 2023
FINRA Bars former Securities America Rep For Conversion
April 21, 2023
After Thanking Very Helpful Whistleblower, SEC Then Stabs The Tipster In The Back
April 12, 2023
In 2023 FINRA Settles With Goldman Sachs Over Mismarked Short Sales Dating Back to 2015
April 5, 2023
GUEST BLOG: [In]Securities: The Influencers: The SEC Grounds Stars' TRX by Aegis Frumento Esq
March 31, 2023
FINRA Shamefully Fines and Suspends Rep For Mistakenly Using A Rep Code
March 29, 2023
FINRA Doesn't Bank On It When It Comes To Wife Of Former UBS Employee
March 27, 2023
GUEST BLOG: [In]Securities: Wanting to Break Free: The Delaware Chancery Court Strikes Down Cantor Fitzgerald's Non-Compete Clauses by Aegis Frumento Esq
March 24, 2023
GUEST BLOG: [In]Securities: No Silver Linings for Silver Edge: How Not to Sell Pre-IPO Funds by Aegis Frumento Esq
March 10, 2023
Blackbook Capital Versus FINRA: A Decade of Battle
March 6, 2023
GUEST BLOG: [In]Securities: DOJ Rides a Horse with No Name: Rule 10b5-1 Plans Cannot be Fraudulently Misused
March 3, 2023
Lira v. Edward Jones: An Ironic and Cynical Tale of Alleged Discrimination, Harassment, and Retaliation
February 9, 2023
FINRA Arbitrators Award Customer $144,000 Against Charles Schwab Amid Allegation of Flawed Investment Recommendations
February 8, 2023
FINRA Arbitrator Denies Indemnification Citing Firm's Failure to Supervise
February 6, 2023
The SEC Toys With A Dead FINRA Expungement Mouse for 50 Months
January 31, 2023
Federal Appellate Court Affirms Dismissal of Wells Fargo and FINRA
January 30, 2023
Bill Singer Slams Garbage Regulation on Wall Street
January 25, 2023
Transfer of AMC Shares From Webull Financial to Fidelity Becomes Unfunny Comedy of Errors
January 13, 2023
We Got A Version. We Got A Sample. We Got A 17 Year Old Margin Capability Dispute Against E*TRADE
January 12, 2023
FINRA NAC Fines and Suspends Rep For Paying Commissions to an Unregistered Person
January 10, 2023
Federal Court Says Customer Had Duty To Notify Schwab of Malfunctioning Order System
January 4, 2023
Removal of FINRA Arbitrator Cited by Schwab and Interactive Brokers in HFT Customer Dispute
January 3, 2023
Newborn Baby, Paternity Leave, Away Account, Loss of Job, and the FINRA Fine and Suspension
December 15, 2022
Time to Overhaul SEC Whistleblower Program
December 5, 2022
Sexism on Wall Street: The Cowardly Silence of FINRA's Board of Governors
November 28, 2022
FINRA Fines and Suspends Former SagePoint Rep Who Didn't Actually Know Anything
November 18, 2022
SEC Chair Gensler Speaks About Shakespeare and Hammurabi While FTX Dissolves
November 15, 2022
To Err Is Human. To Forgive Is A FINRA Fine.
November 14, 2022
Accessing FINRA Test Center Launch Codes With Colonel Mustard
October 26, 2022
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
October 22, 2022
FINRA Takes Wells Fargo Stockbroker Outback to a Bar for a Second Round
October 20, 2022
Deferred Compensation Case Meanders to FINRA Arbitration to Federal Court to State Court to Dumpster
October 19, 2022
A Lack of Finality: The Trevor Saliba Saga at FINRA and the SEC and Again at FINRA
October 10, 2022
The Disappearing Act of Elder Abuse in a TD Ameritrade FINRA Arbitration
October 6, 2022
SEC Hides Disqualification Waiver Order In High Profile Recordkeeping Release
September 28, 2022
Whistleblower Angered by SEC's Split of $27 Million Award
September 27, 2022
Securities Industry Commentator by Bill Singer Esq
September 26, 2022
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
September 24, 2022
Cuyahoga Gone in Appellate Ruling To Send Dispute to FINRA Arbitration
September 23, 2022
Wells Fargo Wins FINRA Arbitration Against Former Rep With Three On And Off Lawyers
September 21, 2022
The Deceased Customer, His Estate, The Merrill Lynch Employee, The Trusts, The Annuity, the Expert, and the Lawsuit
September 14, 2022
GUEST BLOG: [In]Securities: Trading Cards as a Meditation: Are NTFs Securities? by Aegis Frumento Esq
September 9, 2022
A Lack of Finality: The Trevor Saliba Saga at FINRA and the SEC
September 6, 2022
Unsettling Settlement Puts FINRA's Board of Governors in Troubling Light
August 29, 2022
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
August 27, 2022
GUEST BLOG: [In]Securities: Puff!: The SEC Slays DRGN by Aegis Frumento Esq
August 26, 2022
10Cir Reinstates in Part La'Tonya Ford's Retaliation /Hostile Work Environment/Constructive Discharge Claims Against Jackson National
August 24, 2022
Former Ameriprise Rep Files Lawyer Malpractice Complaint After Losing FINRA Promissory Note Arbitration
August 22, 2022
GUEST BLOG: [In]Securities: A Hard Rain's A-Gonna Fall: A Whistleblower Retaliation Case Washes Out by Aegis Frumento Esq
August 19, 2022
Barred Stockbroker Charged With Five Counts of Wire and Mail Fraud. Did Any Victim Do Any Due Diligence?
August 18, 2022
GUEST BLOG: [In]Securities: Lip Service: The SEC, Reg S-ID, and the Majestic Equality of Regulation by Aegis Frumento Esq
August 5, 2022
Absurd SEC Staff Bulletin Warns Industry To Adjust To Known Variables And Be Flexible
August 4, 2022
Georgia Court of Appeals Reverses Leggett v. Wells Fargo
August 3, 2022
Equity And Justice Prevail In Breathtaking FINRA Expungement Award
August 1, 2022
FINRA Small Firms Face Existential Crisis. VOTE Stephen Kohn for Small Firm Governor
July 29, 2022
GUEST BLOG: [In]Securities: They're All Here: The Three Circles of Securities Fraud Hell by Aegis Frumento Esq
July 22, 2022
FINRA Arbitration Combines Circular Logic With a Nested Loop and a Mobius Strip in Wage Dispute
July 18, 2022
GUEST BLOG: [In]Securities: Watching You: The SEC Walks the Beat by Aegis Frumento Esq
July 15, 2022
Guest Blog: Fair Credit Reporting Act (FCRA) and Regulation S-P by Regulated or Aggrieved
July 11, 2022
GUEST BLOG [In]Securities: Lyin' Eyes: Securities Fraud or Just Plain Fraud? by Aegis Frumento Esq
July 8, 2022
The Flash Crash, Interactive Brokers, Two Hedge Funds, John Does, and Homer Simpson's Appetite for Donuts
July 6, 2022
GUEST BLOG [In]Securities: Highwaymen: The SEC Pulls Off a Brinks Heist by Aegis Frumento Esq
July 1, 2022
GUEST BLOG [In]Securities: Jive Talkin': The SEC Busts a Braggin' Broker by Aegis Frumento Esq
June 24, 2022
Suspension of Disbelief: The Louis Ottimo FINRA to SEC Back to FINRA Back to SEC Regulatory Saga
June 23, 2022
JP Morgan Securities Sued for Over $10 Million in Team Dissolution FINRA Arbitration
June 22, 2022
GUEST BLOG [In]Securities: Man in the Mirror: The SEC Looks into the Mirror Protocol by Aegis Frumento Esq
June 17, 2022
Guest Blog: Now You See It, Now You Don't by "Regulated or Aggrieved"
June 15, 2022
Who's Zoomin' Who in J.P. Morgan Securities FINRA Arbitration
June 14, 2022
GUEST BLOG [In]Securities: Buck Nekkid: The SEC on Full Frontal Disclosure by Aegis Frumento Esq
June 10, 2022
The Nightmare of a Dream Job on Wall Street
June 7, 2022
FINRA Fines and Suspends Former Morgan Stanley Rep For Putting Compliance Cart After the Horse
May 18, 2022
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
May 14, 2022
Wells Fargo Sues Over Transitional and Production Bonuses But Rep Fights Back
May 13, 2022
GUEST BLOG; Still Fighting the Wall Street Bullies by Stephen Kohn
April 19, 2022
For a Second Time, Federal Court Says Price Isn't Right In UBS Whistleblower Retaliation
April 11, 2022
Former Morgan Stanley Rep Should Count His FINRA Settlement Blessings
April 11, 2022
3Cir Considers Absolute Privilege For Alleged Form U5 Defamation
April 4, 2022
FINRA Arbitrators Hit Commonwealth Financial with Compensatory and Punitive Damages in Defamation Case
March 31, 2022
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
March 26, 2022
Stockbroker Wins Expungement of Two Edward Jones Customer Complaints
March 24, 2022
Wells Fargo Promissory Note Case Enters Its Second Decade of Litigation
March 23, 2022
FINRA and SEC Continue Dakota / Zipper Ping Pong Game of Dubious Regulation
March 18, 2022
One Day In the Life Of Lanny Breuer (the Moscow Anti-Corruption Summit) - Revisited 11 Years Later
March 17, 2022
FINRA Arbitrators Award Over $2 Million In Disputed Customer Transfer and Asset Purchase Agreement
March 8, 2022
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
March 5, 2022
Three-Handed Dilemma Grabs NYAG, NYPPEX, Laurence Allen, and FINRA
March 1, 2022
UPDATE: The Google, Candido Viyella, Morgan Stanley, Fundacion Nicor Panama Saga: a Bill Singer 2022 Copyrighted Article fighting DMCA Takedowns
February 24, 2022
Federal Court Denies J.P. Morgan Securities Expedited Discovery in Solicitation Case
February 23, 2022
The Candido Viyella, Morgan Stanley, Fundacion Nicor Panama Saga: a Bill Singer 2022 Copyrighted Article fighting DMCA Takedowns
February 21, 2022
SEC Director Calls Awkward Football Audible During Wall Street Gamification Bowl
February 14, 2022
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
February 5, 2022
Court Finds FINRA Arbitration Process Not Fundamentally Fair
February 4, 2022
FINRA Sanctions Rep for Commissions Earned Under Joint Production Agreement
February 3, 2022
Native American Tribe Investment Portfolio Proves Costly for Purshe Kaplan & Sterling Investments
February 2, 2022
FINRA Fines and Suspends Barclays Analyst For Undisclosed Employment Offer
January 28, 2022
JP Morgan Securities' Regional Director's Affidavit Fails to Carry Day in TRO for Impermissible Solicitation
January 25, 2022
FINRA Fines and Suspends Rep Over Undisclosed Elderly Widow's Will Bequest
January 24, 2022
FINRA Arbitration Award Limits Social Media Liking and Linking
January 18, 2022
Good Vibrations Shoes: 4 Phase Randomized Program Along with a Lithium Rechargeable Power Source
January 14, 2022
The Collision of the Inept With The Incompetent -- A Wall Street Compliance and Regulatory Tale
December 22, 2021
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
December 4, 2021
Did You Hear About The FINRA Arbitration Against Fidelity For Dental Pain and Suffering?
December 1, 2021
Appellate Court Affirms $11.5 Million in Damages and Costs in Employment Defamation Case
November 23, 2021
DreamFunded Dream Faded At FINRA And SEC Declines to Stay Expulsions and Bars
November 15, 2021
There's Something Happening Here (at a FINRA Arbitration ) But What It Is Ain't Exactly Clear
November 8, 2021
Postponement Request for Illness in FINRA Customer Arbitration Prompts Covid Testing
November 3, 2021
Frustrated Former Merrill Lynch Employee Could Not Be Promoted But Maybe Could Have But the Firm Says It Didn't Have To
October 29, 2021
FINRA Arbitrators Revise Beneficiaries in Transfer on Death Accounts
October 27, 2021
Equitable Inadvertence Earns Inequitable FINRA Sanctions
October 25, 2021
After Morgan Stanley Raised Serious Questions in Failed TRO Against Former Employee, The Parties Stipulate to Preliminary Injunction
October 19, 2021
Federal Circuit Court Sustains Registered Rep's Conviction and Sentence of 90 Months
October 18, 2021
The FINRA Expungement of A Customer Complaint That Was Not a Complaint Or From A Customer
October 11, 2021
Testimony Before the United States House of Representatives Committee on Financial Services by SEC Chair Gary Gensler
October 6, 2021
DreamFunded Dream Faded At FINRA
September 30, 2021
Did SEC Permanently Bar Twice The Same Frivolous Whistleblower Claimant?
September 29, 2021
A Thought Piece on Risk from SEC Commissioner Caroline A. Crenshaw
September 28, 2021
FINRA, Crypto, Covid, and Outside Business Activities
September 22, 2021
FINRA Fines and Suspends Young Merrill Trader For Spoofing Treasuries
September 14, 2021
GUEST BLOG [In]Securities: To Grand Central Station by Aegis Frumento Esq
September 11, 2021
4 questions for Wall Street fraud expert Bill Singer with Host Julie Coleman, Financial Planning
September 9, 2021
FINRA Suspends Unregistered Female for Following Registered Male Rep's Orders
September 7, 2021
DBS Throws Director Under the FINRA Regulatory Bus
August 24, 2021
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
August 21, 2021
PIABA Wanted Live FINRA Arbitration (But Covid Had Other Plans)
August 19, 2021
The Unsecured Convertible Note, The FINRA CMA, The Pro Se Plaintiff, The Federal Complaint, and the Legal Clinic
August 17, 2021
Morgan Stanley Raises Serious Questions in Failed TRO Against Former Employee
August 11, 2021
FINRA's Restricted Firm Rule: Two SEC Commissioners Toast the Sinking of the Titanic
August 2, 2021
Makin' It Rain At The Strip Club -- FINRA Goes After Adult Entertainment Charges
July 26, 2021
GUEST BLOG [In]Securities: Everybody Knows by Aegis Frumento Esq
July 23, 2021
GUEST BLOG [In]Securities: Tell Me Lies by Aegis Frumento Esq
July 9, 2021
FINRA Sanctions Rep and Sanctuary Securities Over NT-ETFs
July 7, 2021
Angry Variable Annuity Customer Vexatiously Pursues His Legal Rights
July 6, 2021
Neovest Dissent Pushed Into The SEC Shadows
June 30, 2021
GUEST BLOG [In]Securities: Bird on a Wire by Aegis Frumento Esq
June 18, 2021
All Along the Watchtower FINRA Defends Against the Invading Notaries
June 15, 2021
FINRA Fines and Suspends LPL Rep For Paying Commissions to an Unregistered Person
June 10, 2021
Native American Tribe's Investment Portfolio Proves Costly for Purshe Kaplan & Sterling Investments
June 9, 2021
Now You See It, Now You Don't -- FINRA Rule 2010 Applied by OHO But Rejected by NAC
June 3, 2021
GUEST BLOG: FINRA Withdraws Proposed Expungement Rule by Nancy L. Hendrickson Esq
June 2, 2021
Three FINRA AWCs and One Mess of an Arbitration Raise Unanswered Questions About Supervision
June 1, 2021
GUEST BLOG [In]Securities: Oh No by Aegis Frumento Esq
May 21, 2021
The Vanguard Customer Didn't Ask, Didn't Listen, But The Firm's Voicemail Sucks
May 20, 2021
In Pandemic Times An SEC Investment Advisers Act Fraud Complaint Survives a Motion to Dismiss
May 14, 2021
Federal Court Says Second Amended Complaint Looks Too Much Like First Amended Complaint
May 11, 2021
GUEST BLOG [In]Securities: Mind Games by Aegis Frumento Esq
May 7, 2021
Structuring of Eight Bank Deposits Earns FINRA Suspension
April 30, 2021
PIABA Wants Live FINRA Arbitrations And Wants It Now
April 28, 2021
Brokerage Firm's Third-Party Complaint Against Its Former CEO Remanded to FINRA Arbitration
April 27, 2021
Desperately Seeking FINRA Arbitration On Remand From Federal Court
April 15, 2021
Customer Complaints and Away Settlements -- Matters of Interpretation?
April 9, 2021
The Expungement Was Not Not Warranted But Still Denied
April 5, 2021
GUEST BLOG: Considering Breaking Away from a Wirehouse? The Pros and Cons of Going Independent by Michael King of Michael King Associates
April 1, 2021
The Great FINRA Hand Sanitizer Caper!!!
March 30, 2021
GUEST BLOG [In]Securities: The Impossible Dream by Aegis Frumento Esq
March 26, 2021
Schwab Sued Over Allegedly Malfunctioning Order System
March 23, 2021
FINRA Notice Reminds Firms Of Obligation To Thoughtfully Craft Strong Rules In Advance
March 19, 2021
GUEST BLOG [In]Securities: Singin' the Varsity Blues, Part 3: Walkin' That Lonesome Valley by Aegis Frumento Esq
March 12, 2021
FINRA Suffers Stunning Rebuke by SEC in Tysk Appeal
March 8, 2021
FINRA Censures and Fines Securities America Over Outsourced Onboarding
March 2, 2021
Rowing on the SEC's Whistleblower River of Denial
February 23, 2021
Not Getting Away With What You Are Trying To Get Away With On Wall Street
February 22, 2021
GUEST BLOG [In]Securities: Instant Karma By Aegis Frumento Esq
February 19, 2021
SEC Cites League of Extraordinary Advisers In Denying Waiver of Bar
February 17, 2021
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
February 6, 2021
GUEST BLOG [In]Securities: Soon May the Tendieman Come By Aegis Frumento Esq
February 5, 2021
3Cir Says Never Is Better Than Late In FINRA Arbitration Appeal
February 4, 2021
FINRA Needs Some Fresh Air For A 20 Month Suspension
February 3, 2021
The 2021 Edition of the Prime Bank Note Scam
February 1, 2021
GUEST BLOG [In]Securities: A Worried Song By Aegis Frumento Esq
January 22, 2021
Negative Consent Morgan Stanley CARE Arbitration Program Sustained by Court
January 21, 2021
Voya Racial Discrimination Case Sheds Harsh Light On Wall Street Mandatory Arbitration
January 11, 2021
GUEST BLOG [In]Securities: No-Hopers, Jokers and Rogues By Aegis Frumento Esq
January 8, 2021
Did You Hear The One About The Customer Who Sued Because He Didn't Know Insider Trading Was Illegal?
January 5, 2021
Moving the Goal Line In a FINRA Expungement Arbitration
December 30, 2020
Last Dance for FINRA's Zipper? Nope, SEC Says Let's Do It Again
December 28, 2020
GUEST BLOG [In]Securities: Ringing Out for Christmas Day By Aegis Frumento Esq
December 24, 2020
SEC Commissioner Peirce Sounds the Due Process Alarm In Response To FINRA Rule Amendment
December 15, 2020
After Midnight It All Hangs Out In Morgan Stanley Arbitration
December 14, 2020
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
December 12, 2020
GUEST BLOG [In]Securities: Sometimes, a Man of Peace By Aegis Frumento Esq
December 11, 2020
EPIC!!! Securities Industry Commentator from Bill Singer Esq
December 10, 2020
Misdirection Leaves COR Clearing Without Insurance Reimbursement
December 9, 2020
Outrageous Romance Scam Earns Even More Outrageous Sentence
December 8, 2020
Schemes From a California Restaurant
December 7, 2020
FINRA Sanctions Former Morgan Stanley and UBS Reps Over Misuse of Customer Information
December 2, 2020
A Stroll Down Wall Street's Fetid Memory Lane of Disparate Regulation
November 27, 2020
GUEST BLOG [In]Securities: Missing a Crowded Table By Aegis Frumento Esq
November 25, 2020
GUEST BLOG [In]Securities: Eggs from the Golden Goose By Aegis Frumento Esq
November 20, 2020
Two SEC Commissioners Dissent From the Shadows
November 16, 2020
Identities of SEC Whistleblower and Respondent Bank Outed
November 12, 2020
The Saad Saga Returns to Federal Court
November 9, 2020
[In]Securities Guest Blog: Singing An American Tune By Aegis Frumento Esq
November 6, 2020
Permanent Bar Proves Less Than Permanent As SEC Approves Return to Industry
October 29, 2020
California Court of Appeal Holds Its Ground After Rehearing Tilkey v. Allstate
October 28, 2020
[In]Securities Guest Blog: A Different Kind of Truth By Aegis Frumento Esq
October 23, 2020
FINRA Fines Small Firm And its Owner For Misclassification of Expenses
October 21, 2020
Rep Sentenced to 90 Months in Federal Prison On 21 Counts
October 19, 2020
FINRA Fines and Suspends Merrill Lynch Rep Over Apartment Rentals
October 14, 2020
[In]Securities Guest Blog: Don't Know Much by Aegis Frumento Esq
October 9, 2020
Former Cetera Rep Sues AdvisorNet Financial Over Alleged Supervision and Compliance Failures
October 8, 2020
Not Enough Bull In Stairway to Heaven
October 7, 2020
[In]Securities Guest Blog: tZero/No Limit by Aegis Frumento Esq
September 25, 2020
SEC Reforms Its Whistleblower Program
September 24, 2020
Discovery Misconduct by FINRA Enforcement Prompts Tepid Response from Regulator
September 22, 2020
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
September 19, 2020
Securities Industry Commentator by Bill Singer Esq
September 18, 2020
Wells Fargo Sues Over Transitional and Production Bonuses And Rep Fights Back
September 15, 2020
FINRA Imposes Fine and Suspension Over Deceased Second Cousin Once Removed
September 11, 2020
For FINRA, Relevant Is A Large Gray Pachyderm
September 9, 2020
FINRA Proposes OHO and NAC Hearings Via ZOOM
September 3, 2020
Pro Se Public Customer Alleges FINRA Arbitrators' Misconduct in Schwab Case
August 25, 2020
Edward Jones Wins TRO Against Former Employee in Solicitation and Trade Secrets Case
August 24, 2020
Six Years And Counting and the SEC Is Still Dicken-ing Around
August 20, 2020
Perplexing, Baffling FINRA Arbitration Award Affirmed in 4Cir Majority Opinion
August 17, 2020
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
August 15, 2020
[In]Securities Guest Blog: Take it Easy by Aegis Frumento Esq
August 13, 2020
UPDATE: FINRA Says Brokerage Fee An Undisclosed Commission
August 12, 2020
SDNY Says You're Gonna Have To Serve Somebody (And Email Ain't Gonna Cut it)
August 11, 2020
UPDATE: Ir-Rationale FINRA Merrill Lynch EFL Arbitration Decision Cited By Tax Court
August 10, 2020
[In]Securities Guest Blog: The Royal Scam by Aegis Frumento Esq
August 6, 2020
[In]Securities Guest Blog: Out of Touch, Out of Luck by Aegis Frumento Esq
July 30, 2020
FINRA Sanctions Concorde Investments Services and CCO Levy Over Supervisory Lapses
July 29, 2020
SEC Remands Feitelberg Bar to FINRA Citing Respondent's Serious Illness
July 28, 2020
Only One Litigant Shows Up For the FINRA Schoolyard Fight
July 27, 2020
Dubious FINRA Study Finds Female Arkansas Prison Inmates Are Usually Poor and Financially Illiterate
July 24, 2020
[In]Securities Guest Blog: When You Don't Know What It Is by Aegis Frumento Esq
July 23, 2020
FINRA Borrowing Rule Seems to Say What It Means But It Doesn't Actually Mean What It Says
July 22, 2020
[In]Securities Guest Blog: Click Boom by Aegis Frumento Esq
July 16, 2020
Bridgewater Over Troubled FINRA Waters
July 15, 2020
9Cir Tames Sharemaster After Epic Battles With FINRA and SEC
July 10, 2020
[In]Securities Guest Blog: Good, Bad and Ugly by Aegis Frumento Esq
July 9, 2020
[In]Securities Guest Blog: Freedom Flashing by Aegis Frumento Esq
July 3, 2020
FINRA Settles Untimely Disclosure of Four Felony Charges Without Willfulness Finding
July 1, 2020
[In]Securities Guest Blog: Manicula's Gopher by Aegis Frumento Esq
June 25, 2020
Gregory Acosta Hands FINRA an Earth Shattering, Precedent Setting, Historic, Stunning Defeat
June 24, 2020
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
June 20, 2020
[In]Securities Guest Blog: Gambling Man by Aegis Frumento Esq
June 19, 2020
Federal Court Considers FINRA Arbitrability of Insurance Claims
June 18, 2020
Rep's Wife and Adult Children Named as Elderly Customer's Insurance Beneficiaries
June 16, 2020
Wells Fargo Promissory Note Case Enters Its Eighth Year of Litigation
June 15, 2020
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
June 13, 2020
Securities Industry Commentator by Bill Singer Esq at BrokeAndBroker.com
June 12, 2020
[In]Securities Guest Blog: School's Out for Summer by Aegis Frumento Esq
June 11, 2020
FINRA Arbitrator Sings Signed, Sealed, Delivered and Return to Sender In Default Award
June 9, 2020
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
June 6, 2020
[In]Securities Guest Blog: As Hollow as it Seems by Aegis Frumento Esq
June 4, 2020
Wells Fargo Sues Over Transitional and Production Bonuses And Rep Fights Back
June 3, 2020
[In]Securities Guest Blog: The End of the Line by Aegis Frumento Esq
May 28, 2020
Legend-ary Retirement Plan Embroils Cetera and First Allied in Federal Lawsuit
May 26, 2020
Federal Court Cites Quintessential Shotgun Pleading and Myriad of Motions in FINRA Arbitration Appeal
May 22, 2020
[In]Securities Guest Blog: Dear Prudence by Aegis Frumento Esq
May 21, 2020
FINRA Says Impeccable Merrill Lynch Has No Relevant Disciplinary History
May 19, 2020
[In]Securities Guest Blog: Troubled Water Over the Bridge by Aegis Frumento Esq
May 14, 2020
FINRA Arbitrators Award Severance to Former Barclays Employee
May 13, 2020
[In]Securities Guest Blog: Marconi Plays the Mamba by Aegis Frumento Esq
May 7, 2020
FINRA Baseball Caps, Rice Krispies Treats, Hiring Spree, and ZOOM OTRs
May 1, 2020
[In]Securities Guest Blog: Get What You Need by Aegis Frumento Esq
April 30, 2020
Damages Awarded in Form U5 Defamation Case Against Allstate
April 28, 2020
Federal Court De-Fangs Merrill Lynch In Class Action Dismissal
April 27, 2020
FINRA AWC Has Potential Precariously Perched Atop Conjecture and Speculation
April 24, 2020
[In]Securities Guest Blog: Life's for the Living by Aegis Frumento Esq
April 23, 2020
Guest Blog: Riddle of the FINRA Sphinx by Stephen Kohn
April 22, 2020
SEC Announces Two Whistleblower Awards But One Is A Redacted Puzzle
April 21, 2020
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
April 18, 2020
Federal Courts Consider Disturbing FINRA Customer Arbitration Decision
April 17, 2020
[In]Securities Guest Blog: Small Worlds by Aegis Frumento Esq
April 16, 2020
It Ain't Over Till It's Over As Martinovich Appeals Continue
April 10, 2020
[In]Securities Guest Blog: Hello In There by Aegis Frumento Esq
April 9, 2020
Familiar Names Resurface In SEC Unauthorized Trading Scheme
April 8, 2020
No Membership Port In A Regulatory Storm For Newport Coast Securities
April 7, 2020
[In]Securities Guest Blog: Breathless by Aegis Frumento Esq
April 2, 2020
Registered Rep Goes Down for the Count -- All 21 of Them
April 1, 2020
Federal Courts Okay FINRA Unexplained Arbitration Decision
March 30, 2020
[In]Securities Guest Blog: In Dreams by Aegis Frumento Esq
March 26, 2020
We Will Prevail: Compassion, Sacrifice, and Endurance
March 20, 2020
[In]Securities Guest Blog: Who's Zoomin' Who by Aegis Frumento Esq
March 19, 2020
The Pen Is Mightier Than The Sword But Don't Bring Either Into A FINRA Test Center
March 18, 2020
Citizens Securities Wins TRO in Non-Solicitation Federal Court Action
March 16, 2020
[In]Securities Guest Blog: Not Going Back to My Old School by Aegis Frumento Esq
March 12, 2020
Thought And Preparation In Wall Street Plague Time
March 11, 2020
FINRA Arbitrators Award Damages To Customer But Offset With Award to Stockbroker
March 6, 2020
[In]Securities Guest Blog: The Fever by Aegis Frumento Esq
March 5, 2020
[In]Securities Guest Blog: Blinded by the Light by Aegis Frumento Esq
February 27, 2020
Hot Shoe Burnin' Down Wall Street In FINRA Morgan Stanley Panama Arbitration
February 27, 2020
Sexual Bondage, Videotapes, Divorce, Criminal Charges, Revenge Porn and FINRA
February 26, 2020
FINRA Fines And Suspends Rep Over Unauthorized Signatures on Self Directed IRA Transfers
February 25, 2020
[In]Securities Guest Blog: Something Built to Last by Aegis Frumento Esq
February 20, 2020
Cannabis Science Case Smokes Definition of Brokerage Customer
February 19, 2020
[In]Securities Guest Blog: A Political World by Aegis Frumento Esq
February 13, 2020
Court Rejects Late Breaking Wisdom As Too Late in FINRA Arbitration Appeal
February 7, 2020
Guest Blog: The 10 Warning Signs of a Crypto Scam by Jesus Cedeno
February 6, 2020
FINRA AWC Cites Dubious Options Strategy In IRA Account
January 31, 2020
[In]Securities Guest Blog: Rolled Up and Smoked by Aegis Frumento Esq
January 30, 2020
The Widow, Her Stockbroker, and Her Loans and Gifts to Him
January 29, 2020
[In]Securities Guest Blog: Driving That ESOP Trolley by Aegis Frumento Esq
January 23, 2020
Prudential Wins Dismissal of Tortious Interference Claim
January 22, 2020
FINRA Settles Case Involving What Looks Like A Felony But Isn't
January 17, 2020
[In]Securities Guest Blog: Drunk on a Plane by Aegis Frumento Esq
January 16, 2020
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
January 11, 2020
[In]Securities Guest Blog: Born to be Wild by Aegis Frumento Esq
January 9, 2020
Federal Court Troubled By FINRA Arbitration Chair's Non-Disclosure of Conflict
January 7, 2020
UPDATE: Court Confirms UBS Promissory Notes Arbitration Citing Delays And Doctor's Note
January 6, 2020
Raymond James Rep Can't Get No Non-Attorney Representative To Not Make No FINRA Arbitration Proffer
January 2, 2020
Fantasy Football Arrives To Wall Street and Freedom Is At Stake
December 30, 2019
[In]Securities Guest Blog: And So This Is Christmas by Aegis Frumento Esq
December 24, 2019
Courts Rebuke FINRA and Public Customer Over Arbitration of Settled Dispute
December 20, 2019
[In]Securities Guest Blog: Not Dead Again Today? by Aegis Frumento Esq
December 19, 2019
[In]Securities Guest Blog: Lawyers, Guns and Money by Aegis Frumento Esq
December 12, 2019
Customer Carries 31 Year Old Grudge Into Broker Expungement Case
December 11, 2019
Synapse Financial Technologies Sued For Harassment, Discrimination and Retaliation
December 10, 2019
[In]Securities Guest Blog: WeWork Works It Out by Aegis Frumento Esq
December 5, 2019
Fee Based Rep Seeks Expungement Over Commissions He Never Charged
December 4, 2019
GROWING SCANDAL ALERT: Italian Cheese Flying the False-Flag of France
December 3, 2019
[In]Securities Guest Blog: Still a Wonderful World by Aegis Frumento Esq
November 27, 2019
He Fought The Law And The Law Won . . .Tied . . . Lost?
November 25, 2019
[In]Securities: Who'll Be Watching Whom? by Aegis Frumento Esq
November 21, 2019
[In]Securities Guest Blog: What's My Name? by Aegis Frumento Esq
November 14, 2019
Featured in Today's Securities Industry Commentator
November 13, 2019
Tower Research Capital Not Such a CFTC Bad Boy After E-Mini Fraud
November 8, 2019
[In]Securities Guest Blog: Wishin' I Was Stoned by Aegis Frumento Esq
November 7, 2019
2 Pleas, 2 Federal Courts,1 Horrific Ponzi Scheme, and Lots of Lousy Wall Street Regulation
November 6, 2019
[In]Securities Guest Blog: Everybody Knows by Aegis Frumento Esq
October 31, 2019
Claimant's Attorney In ER, Claimant's Wife Gives Birth, but FINRA Arbitrators Won't Postpone Hearing
October 29, 2019
Oral Contract Propels Lynx Capital Into Trading Black Hole
October 28, 2019
[In]Securities Guest Blog: The Man in the Long Black Coat by Aegis Frumento Esq
October 24, 2019
The SEC Empire Strikes Back After Reinjuring Its Groin On Planet Daspin
October 18, 2019
[In]Securities Guest Blog: Make It So by Aegis Frumento Esq
October 17, 2019
The Illogical Logic of FINRA's Willful Non-Disclosure of Tax Liens
October 11, 2019
[In]Securities Guest Blog: Money for Nothing by Aegis Frumento
October 10, 2019
Guest Blog: Merrill Lynch Production Policy Causes Age Discrimination by Jerry Marks, Esq
October 7, 2019
[In]Securities Guest Blog: Singin' the Varsity Blues, Part 2: Whose Intentions Are Good by Aegis Frumento
October 3, 2019
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
September 28, 2019
[In]Securities GUEST BLOG: Fantasy by Aegis Frumento Esq
September 26, 2019
Client Associate Takes 4 Years of Rep's CE
September 24, 2019
Federal Courts Affirm Forgiveness of Barclays Promissory Notes Repayment
September 23, 2019
[In]Securities GUEST BLOG: Hit the Road, Jack by Aegis Frumento Esq
September 19, 2019
FINRA's JPM Omelet Ends With Egg On the Regulator's Face
September 17, 2019
Perplexing FINRA AWC About the Likely Statutorily Disqualified Rep
September 13, 2019
[In]Securities GUEST BLOG: Not the One You Need by Aegis Frumento Esq
September 12, 2019
Court Allows Wells Fargo Stockbroker to Contact Former But Not Current Clients
September 10, 2019
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
September 7, 2019
[In]Securities GUEST BLOG: Walk Like a Man by Aegis Frumento, Esq
September 5, 2019
Rocky Enters Texas Ring Over Fee-For-Advice Dispute
September 3, 2019
FINRA Arbitrators Order Stockbroker to Disgorge Future Bonuses to Ameriprise
August 30, 2019
Court Says Morgan Stanley Employee Failed to Opt Out of Arbitration Clause
August 27, 2019
UPDATE: SEC Sustains Saad Sanction Saga
August 26, 2019
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
August 24, 2019
The FINRA Dissident Community: A History
August 23, 2019
Reps File FINRA Arbitration Against Former Employer Over Failed Transition
August 19, 2019
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
August 10, 2019
Barclays' Bank Shot Caroms Into Federal Court Reprimand
August 8, 2019
GUEST BLOG: FINRA Hearing Process . . .BIAS . . . Real or Perceived???
August 1, 2019
If It Wasn't For Bad Luck, I Would Not Have No Luck At All in FINRA Arbitration
July 30, 2019
GUEST BLOG: Sittin' On the Dock by Aegis J. Frumento Esq
July 25, 2019
GUEST BLOG: What Can We Do To Increase Diversity? by Linde Murphy
July 19, 2019
GUEST BLOG: Standing on the Moon by Aegis Frumento Esq
July 18, 2019
Morgan Stanley Hit with $3 Million FINRA Discovery Sanction
July 17, 2019
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
July 13, 2019
GUEST BLOG: Hester's Scarlet Begonias by Aegis Frumento Esq
July 11, 2019
Former LPL Stockbroker Suspended and Fined For Customer Borrowing
July 9, 2019
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
July 6, 2019
GUEST BLOG: Pursuing America by Aegis Frumento Esq
July 3, 2019
Former USAA Financial Employees Win Nearly $2 Million in Wrongful Termination Case
July 2, 2019
This Is Not A Pipe. This Is Not A Final, Appealable Order
July 1, 2019
GUEST BLOG: The Great Pretender by Aegis Frumento Esq
June 27, 2019
The Wife, The Husband, The Divorce, Edward Jones, The Stockbroker, and The Messy FINRA Arbitration
June 26, 2019
Court of Appeal Vacates Morgan Stanley Elder Abuse Award in Troubling FINRA Arbitration
June 25, 2019
Wells Fargo Banker and Broker Loses Humpty Dumpty FINRA Arbitration
June 24, 2019
Pro Se Public Customer and Pro Se Stockbroker Did It Their Way In FINRA Arbitration
June 21, 2019
GUEST BLOG: Gotta Serve Somebody by Aegis Frumento Esq
June 20, 2019
2019 FINRA Board of Governors Election
June 17, 2019
UBS Stockbroker Seeks Expungement of ARS Claim That Firm Says Wasn't Made
June 14, 2019
GUEST BLOG: Hero Takes a Fall by Aegis Frumento Esq
June 13, 2019
Courts Tell Divorced Stockbroker to Try A Little Bit Harder
June 7, 2019
GUEST BLOG: Being Evil by Aegis Frumento Esq
June 6, 2019
Courts Affirm FINRA Award Via Virtual Naming of John Does In Customer Arbitration
June 5, 2019
SEC Acts In the Public Interest And Renders $3 Million Whistleblower Award
June 4, 2019
Another Day. Another FINRA Regulatory Settlement. Another Case Involving Who Owns the Customer
May 31, 2019
GUEST BLOG: Earning It, For Our Brothers In Arms by Aegis Frumento, Esq
May 30, 2019
GUEST BLOG: FINRA Chokes on a Smoking Ear by Aegis Frumento Esq
May 23, 2019
GUEST BLOG: . . . and I Feel Fine by Aegis Frumento Esq
May 16, 2019
Former Morgan Stanley Branch Manager Wins Expungement of Failure to Supervise Claims
May 15, 2019
GUEST BLOG: The Game of Coins by Aegis Frumento Esq
May 9, 2019
Seller's Remorse Upends Investment Firm Sale In FINRA Arbitration
May 8, 2019
FINRA Censures and Fines Firm Over Supervision of Watch and Restricted Lists
May 6, 2019
GUEST BLOG: Acts of Code by Aegis Frumento Esq
May 2, 2019
GUEST BLOG: Overlooking Maple Street by Aegis Frumento Esq
April 25, 2019
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
April 20, 2019
GUEST Blog: The Strangled Cries of Lawyers in Love by Aegis Frumento Esq
April 18, 2019
UBS Wins EFL Arbitration On Wall Street With No Name
April 17, 2019
Sonny Corleone At the Toll Booth: A Study of a FINRA Email Review Settlement
April 16, 2019
Morgan Stanley Supervisor Goofs But Stockbroker Pays the Price
April 15, 2019
GUEST BLOG: Inversions by Aegis Frumento Esq
April 11, 2019
FINRA Notice To Members 19-10 Should Have Said What It Meant
April 8, 2019
SEC Scheduling Order: The Nuts and Bolts of Trying Your Case
April 5, 2019
GUEST BLOG: Lorenzo's Oil Slick by Aegis Frumento Esq
April 4, 2019
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
March 30, 2019
UBS Wins Promissory Notes Arbitration After Four Delays And A Doctor's Note
March 29, 2019
GUEST BLOG: Bitwise and Fund-Foolish by Aegis Frumento Esq
March 28, 2019
BREAKING STORY: Supreme Court Affirms DC Circuit on Lorenzo v. SEC
March 27, 2019
Edelman Financial Services Loses Non-Solicit Non-Disparagement Case
March 22, 2019
GUEST BLOG: Singin' the Varsity Blues: Leave Them Kids Alone by Aegis Frumento Esq
March 21, 2019
Merrill Lynch Wins A Round Against Former Employees in FINRA Arbitration
March 18, 2019
GUEST BLOG: OneCoin's Whorl of Woe by Aegis Frumento Esq
March 14, 2019
FINRA Finds (AGAIN!) That Ameriprise Stockbroker Altered and Concealed Evidence in Customer Arbitration
March 13, 2019
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
March 9, 2019
GUEST BLOG: In for a Pound by Aegis Frumento Esq
March 7, 2019
Pro Se Stockbroker Wins FINRA Expungement of Merrill Lynch Settled Customer Complaint
March 6, 2019
FINRA Arbitrators Award Ameriprise Promissory Note Damages But With Odd Statement About What Was Not Considered
March 5, 2019
Wells Fargo Promissory Note Victory Goes From FINRA Sublime to SEC Ridiculous
March 4, 2019
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
March 2, 2019
GUEST BLOG: Weird Apple Pickings by Aegis Frumento Esq
February 28, 2019
FINRA Arbitration Costs National Securities In Promissory Note Case
February 27, 2019
Charles Schwab Sues Customers Over XIV Debit Balance
February 25, 2019
FINRA Arbitrators Award Over $569,000 In Damages For In And Out Transfers
February 22, 2019
GUEST BLOG: That River of Dreams by Aegis Frumento Esq
February 21, 2019
Outside Business Activities and Away Account Cost Stockbroker $7,500 and Four Months on the Bench
February 20, 2019
GUEST BLOG: To Hold and Have Not by Aegis Frumento Esq
February 14, 2019
Lord Voldemort, Bank of America, Merrill Lynch, FINRA, And Childcare Expenses
February 13, 2019
BrokeAndBroker.com Blog: by Bill Singer Esq WEEK IN REVIEW
February 9, 2019
GUEST BLOG: Gods Help Us, Every One by Aegis Frumento Esq
February 7, 2019
Abandoned Car Wreck of Public Customer FINRA Arbitration
February 5, 2019
Premature Withdrawal Ends In $445,000 Award Against Wells Fargo Rep
February 4, 2019
GUEST BLOG: The Hard Fork in DAO Road by Aegis Frumento Esq
January 31, 2019
GUEST BLOG: Who Run the World? by Aegis Frumento Esq
January 24, 2019
Expungement Ten Years in the Making For Merrill Lynch Stockbroker
January 22, 2019
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
January 19, 2019
State of the Union: Clowns to the Left, Jokers to the Right
January 18, 2019
GUEST BLOG: The SEC's Gagging Rights by Aegis Frumento Esq
January 17, 2019
Federal Court Says Former Raymond James Employee Was On Notice of FINRA Arbitration
January 14, 2019
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
January 12, 2019
GUEST BLOG: Tucker Carlson, AOC, and the 70% Tax Rate by Aegis Frumento Esq
January 10, 2019
Oppenheimer TKO'd by Stunning Stockbroker Offset in FINRA EFL Arbitration
January 9, 2019
The Preemptive EFL Gambit Starts Anew On 2019 FINRA Arbitration Chessboard
January 8, 2019
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
January 5, 2019
Unstrained Mercy Gently Rains Down After FINRA Bar
January 4, 2019
GUEST BLOG: Bitcoin is Not Blockchain's Best Use Case by Aegis Frumento Esq
January 3, 2019
Ir-Rationale FINRA Merrill Lynch EFL Arbitration Decision Cited by Tax Court
December 31, 2018
Scottsdale Sues Rep For Contacting FINRA But FINRA Bars Him For Not Testifying Against Firm
December 26, 2018
GUEST BLOG: This Christmastide by Aegis Frumento Esq
December 24, 2018
GUEST BLOG: Dishonorable Services by Aegis Frumento Esq
December 20, 2018
GUEST BLOG: Beta Blockers by Aegis Frumento Esq
December 13, 2018
FINRA Rule 8210 and FINRA Rule 9552 Analysis by Bill Singer Esq
December 11, 2018
GUEST BLOG: Blaming Nobody by Aegis Frumento Esq
December 6, 2018
Former First Republic Securities Employee Wins $1.1 Million FINRA Arbitration Award
December 4, 2018
Two Deceased Customers,Their Stockbroker, A POA, A TOD Account, And a Bar
December 3, 2018
Stockbroker Plays Hide And Seek With FINRA
November 30, 2018
GUEST BLOG:The SEC Plucks a Chicken by Aegis Frumento Esq
November 29, 2018
Unsplit Commission Split Splits Two Registered Reps
November 28, 2018
Son Calls FINRA Senior Helpline About Trading In Mom's Account
November 27, 2018
GUEST BLOG: Giving Thanks by Aegis Frumento Esq
November 22, 2018
GUEST BLOG: Pragmatic Federalism In a Blockchained World by Aegis Frumento Esq
November 15, 2018
GUEST BLOG: A Pulitzer Prize for Risk Disclosures? by Aegis J. Frumento Esq
November 8, 2018
Customer Withdrawals and Vacations At Heart of Stockbroker Expungement
November 6, 2018
GUEST BLOG: Here Be Dragons by Aegis Frumento Esq
November 1, 2018
GUEST BLOG: The Soft-Headed Side of Sears by Aegis Frumento Esq
October 25, 2018
GUEST BLOG: FINRA Dictator of Dispute Resolution by Dochtor Kennedy, Esq
October 24, 2018
GUEST BLOG: The Million Dollar Bottle by Aegis Frumento Esq
October 18, 2018
GUEST BLOG: The Invisibly Vulnerable Pre-Retirees by Aegis Frumento
October 11, 2018
GUEST BLOG: Beating a Hasty Retweet by Aegis Frumento Esq
October 4, 2018
Last Dance? SEC Hopes It Has Finally Zipped Zipper Appeals
October 3, 2018
GUEST BLOG: All You Need Is A TCR and a Dream by Aegis Frumento Esq
September 27, 2018
FINRA Arbitrator Tells Customers Suing Citigroup That It's Too Late Baby
September 20, 2018
GUEST BLOG: A Tale of Two Tables by Aegis J. Frumento Esq
September 18, 2018
SEC Severely Reduces Whistleblower Award for Unreasonable Filing Delay
September 17, 2018
GUEST BLOG: How the SEC Would Run (and Ruin) Your Firm by Aegis Frumento Esq
September 13, 2018
Stockbroker An Unintended Bystander Victim In Drive-By Customer Complaint
September 10, 2018
GUEST BLOG: Labor's Belabored Day by Aegis Frumento Esq
September 6, 2018
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
September 1, 2018
GUEST BLOG: Twits or Tweeters by Aegis Frumento
August 30, 2018
Two Friends, Their Option Deal, A Stockbroker, His Restaurant, UBS, and FINRA
August 29, 2018
GUEST BLOG: Of Trust, Lattes and Blockchains by Aegis Frumento Esq
August 23, 2018
GUEST BLOG: Big Changes Coming for Small Firms by John Busacca
August 22, 2018
GUEST BLOG: A Trillion Reasons By Aegis J. Frumento, Esq.
August 16, 2018
GUEST BLOG: Securities Fraud? Or Just Bullshit? by Aegis Frumento, Esq
August 7, 2018
AAA Arbitrator Disclosures Upend JPMorgan Chase Bank Employment Lawsuit
August 6, 2018
GUEST BLOG: That Long Strange Trip from SunTrust to Wells Fargo by Aegis Frumento Esq
August 2, 2018
FINRA's Innovation Outreach Initiative and Fifth Harmony Taxonomy As Utilized in Fintech AI
July 31, 2018
FINRA Arbitrators Award Commission to Associated Person For Raising Capital for Customer
July 26, 2018
UPDATE:Non-Attorney Representatives Involved In FINRA Arbitration Blight
July 23, 2018
Morgan Stanley Broker Fined and Suspended For NSF Wires Into His Personal Account
July 19, 2018
5% Solution In FINRA Expungement Arbitration
July 13, 2018
Mentoring Wall Street Professionals About Determination and Persistence
July 6, 2018
SEC Seeks to Reform Its Whistleblower Process
July 3, 2018
The Deceased Father, Claimant Mother, Daughter, Son In Law Stockbroker, and a Kickboxing Investment
June 26, 2018
Zipper Plays Sisyphus to FINRA's Zeus
June 21, 2018
The Human Factor On Wall Street
June 14, 2018
GUEST BLOG: A Suicide on Wall Street
June 13, 2018
GUEST BLOG: R.I.P. PCAOB Audits by Stephen Kohn
June 12, 2018
SEC ALJ Denies Disqualification of Wedbush Lawyer
June 8, 2018
Wall Street Career Cashed Out Over Identity Theft and Gift Cards
June 7, 2018
2 Lies to FINRA Add Up to 1 Bar
June 4, 2018
FINRA Fines And Suspends Merrill Lynch Rep for Check Kiting
May 29, 2018
Busted Out Credit Cards Bust Defendants
May 24, 2018
Arbitration Mistake Becomes a FINRA Moneymaker
May 22, 2018
FINRA Stretches Definition of Participating in a Private Securities Transaction
May 18, 2018
Was That Stockbroker's Customer Blowing Steam Or Making a Complaint?
May 11, 2018
FINRA Orders Partial Restitution in Activity Letter Settlement
May 8, 2018
Sharemaster the Beastmaster Tames FINRA and SEC in PCAOB Dispute
May 7, 2018
FINRA Hardship Waiver Hard To Find
May 4, 2018
Solicited System Snafu Stiffs Settling Stifel Stockbroker
May 2, 2018
Financialindustryregulatory Arthur-Iddy's BrokenCzech Tool
April 30, 2018
You Hear The One About The FINRA Arbitration Involving The Stockbroker With 36 BrokerCheck Disclosures?
April 26, 2018
Former Ameriprise Rep Wins Split Decision In FINRA Arbitration
April 25, 2018
FINRA Arbitrators Dissolve RIA / BD Lacking Operating Agreement
April 24, 2018
FINRA Death Cab for an Un-Fare Email Cutie
April 23, 2018
FINRA Bogarts the Weed In Medical Marijuana Settlement
April 20, 2018
Setting the Record Straight by Bill Singer, Esq.
April 9, 2018
Stormy Daniels Issue Hits FINRA Arbitration Remand
April 4, 2018
FINRA Humiliated In Federal Court Arbitration Appeal
March 26, 2018
Branch Office Agreement At Heart of Industry Arbitration
March 21, 2018
Merrill Lynch Employee and AllianceBernstein Work It Out In Unfair Competition Dispute
March 16, 2018
No Winners In FINRA Customer Arbitration
March 14, 2018
Disturbing FINRA Settlement Involving Elderly Client With Dementia
March 13, 2018
Federal Court Sustains FINRA / SEC Over CEO Reckless Disregard of Net Cap Rule
March 12, 2018
CCO Fined and Suspended For Amending Her Own U5
March 8, 2018
Bill Singer Esq Comments on FINRA Notice To Members 18-08: Outside Business Activities
March 7, 2018
In the Year 2525 If FINRA Arbitration Is Still Alive
March 6, 2018
Citi Hit With Over $4 Million Award In Wrongful Termination Arbitration
March 5, 2018
BrokeAndBroker.com Blog by Bill Singer ESQ WEEK IN REVIEW
March 3, 2018
Bubitotious Infectosis, FINRA Exams, and Loaded Dice
March 2, 2018
Wells Fargo Sustains Stunning Promissory Note Loss
February 26, 2018
Scottrade Customer Margin Case Tossed During Discovery
February 23, 2018
Daspin Death Star Battles SEC and Lone ALJ Jedi Knight Grimes
February 22, 2018
Pro Se Former Nationwide Employee Wins $1 And CRD Expungement
February 20, 2018
30 Months Of Violations Under FINRA's Nose
February 16, 2018
Emergency Surgery Fails To Remove Margin Call
February 12, 2018
SEC Zaps Zipper's Second Stay Request
February 7, 2018
GUEST BLOG: The Department of Justice's Coming Out Party by Darrell Whitman
February 6, 2018
Ameriprise and Former Rep Battle It Out Over EFL and Defamation
February 1, 2018
Epic Rant About A Tepid FINRA Regulatory Settlement
January 31, 2018
Abuse And Harassment On Wall Street
January 25, 2018
FINRA Arbitrators See No UBS, Citigroup, or Merrill Customers And Dismiss Case
January 23, 2018
FINRA Sanctions Charitable Remainder Trust Pitch
January 22, 2018
FINRA Arbitrators Award $140,000 In Employee Defamation Case
January 11, 2018
FINRA's $10,000 Expungement Price-Tag To Clear A Victim's Name
January 5, 2018
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
December 30, 2017
FINRA Arbitrator Recommends Expungement of Three Customer Complaints
December 29, 2017
FINRA Wrestles With No Debt False Statement Versus Untrue One
December 28, 2017
Arbitrators OK Raymond James Liquidation of JTWROS Account for Broker Husband's Loan
December 21, 2017
Feds Halt Seinfeld Bottle Deposit Scam
December 6, 2017
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
December 2, 2017
Not Fade Away Tops FINRA Regulatory Chart
December 1, 2017
FINRA Suitability Settlement Involves Five Elderly Retired Morgan Stanley Customers
November 27, 2017
DOL Whistleblower Darrell Whitman Files Emergency Request with US Office of Special Counsel
November 24, 2017
Clever Stipulation In FINRA Expungement Arbitration
November 17, 2017
Humpty Dumpty, FINRA, Sharing, Guarantee, and Losses
November 15, 2017
California Denies Expungement of NASD and Ohio Regulatory Disclosures
November 13, 2017
FINRA Schrodinger Cat Is Dead, Alive, and a Zombie
November 7, 2017
FINRA Tackles Insurance Claim Allowable Assets. But Is It Relevant?
November 3, 2017
$3 Million Awarded In UBS FINRA Employment Dispute
October 30, 2017
FINRA Hides The Name of An Affiliated Bank
October 27, 2017
Charity Begins At Work For Suspended Registered Rep
October 24, 2017
FINRA Suitability Rule and the Unsophisticated Investor
October 23, 2017
BrokeAndBroker.com Blog by Bill Singer, Esq. WEEK IN REVIEW
October 21, 2017
Rep Defends Herself Against Ameriprise EFL Arbitration
October 18, 2017
SEC Saad Saga Still Slogs Still Sags
October 16, 2017
FINRA Settlement Muddies Wall Street's Regulatory Waters
October 13, 2017
SEC Rejects Stockbroker Appeal of 2006 NASD Bar
October 5, 2017
FINRA Borrowing Settlement Involves Friendly 96 Year Old Customer
October 4, 2017
FINRA Doesn't Like Dinar Time
September 29, 2017
UBS Employee Padussis Wins Best Left Unsaid Arbitration
September 25, 2017
BrokeAndBroker.com Blog by Bill Singer, Esq. WEEK IN REVIEW
September 23, 2017
TD Ameritrade Acquires Scottrade Subject To Outdated NASD Rules
September 21, 2017
Wachovia Customer Sues Wells Fargo Over FundSource Losses
September 20, 2017
RIA Cherry Picking Case Rings Alarm (Anyone Listening?)
September 15, 2017
The Elderly and Blind Customer, The Stockbroker, The Joint Account, and 2 Apartments
September 14, 2017
RBC Stockbroker Father Died and His Son Inherits Unhappy Customer
September 12, 2017
The Merry-Go-Round of FINRA Reform. This Time It Won't Be Any Different Again
September 6, 2017
GUEST BLOG: A FAILURE OF ACCOUNTABILITY: Wells Fargo Fraud Goes Unanswered As Washington Dithers by Darrell Whitman
September 5, 2017
UPDATE: Merrill Lynch FINOP Cited By SEC for Unprecedented Violations
September 1, 2017
PNC Loses Wrongful Termination FINRA Arbitration
September 1, 2017
FINRA Arbitrators Rewrite Wells Fargo Termination Language
August 31, 2017
Turning Right Is Wrong At FINRA Red Light
August 30, 2017
Weight Management Company Weighs Heavily on Stockbroker's Career
August 29, 2017
Split 2nd Circuit Affirms Martoma Conviction
August 23, 2017
Stifel Prevails In Arbitration But Former Hilltop Employees Hit With Awards
August 21, 2017
A Stockbroker, Her LLC, And Her Customers' Loans (Or Investment?)
August 17, 2017
SG Americas Employee Wins (Sort Of) FINRA Employment Arbitration
August 15, 2017
Federal Prosecutors Throw In Towel Against Benjamin Wey
August 9, 2017
Darrell Whitman Petitions Attorney General Sessions About Wells Fargo Investigation
August 7, 2017
Chia Hair Plugs and 100% Principal Protected Lehman Brothers Notes
August 3, 2017
GUEST BLOG: Whistleblown by Michael Schwartz
August 1, 2017
FINRA Gets One Last Slap in Marine Veteran's Face
July 31, 2017
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
July 30, 2017
Employee Wins Over $1 Million In Fraudulent Inducement Hiring Case
July 28, 2017
Bond Trader Barred by FINRA Wins Arbitration For Unpaid Wages
July 26, 2017
Grassroots Movement to Revise FINRA Fine and Suspension of Richard Botkin
July 25, 2017
A FINRA JP Morgan Arbitration,Jamie Dimon's Embarrassment and Bill Singer's Apoplexy
July 21, 2017
BREAKING NEWS: Second Circuit Overturns Rabobank LIBOR Convictions
July 19, 2017
FINRA Arbitrators Okay Firing For Failure To Recognize Questionable Activity
July 17, 2017
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
July 15, 2017
Stephen Kohn and Hugh Hewitt Champion Richard Botkin's FINRA Appeal
July 14, 2017
UPDATE: SEC Denies Wanger Re-Entry Into Industry
July 12, 2017
Testing FINRA's Test Center Patience
July 11, 2017
UPDATE: FINRA Rides The Thunder In Vietnam Movie Case
July 7, 2017
FINRA Rides The Thunder In Vietnam Movie Case
July 6, 2017
HSBC Securities Settlement Raises Questions About FINRA Examinations
July 5, 2017
Rep Wins Expungement of 11 Year Old Complaint At Defunct Brokerage Firm
June 29, 2017
Market Fragility and Interconnectedness
June 23, 2017
South Park Gnomes' Underpants Scheme Inspires FINRA Arbitration Decision
June 22, 2017
BREAKING NEWS: FINRA Wins Round One of Scottsdale 144 Case
June 21, 2017
VXX Vice Versa Vexes Veteran Stockbroker
June 21, 2017
Benjamin Wey Wins Suppression Order In Securities Fraud Criminal Case
June 19, 2017
UPDATE: Potentially Dubious Flexible Rescheduling Of SEC Hearing And Awry,Alaska Cruise
June 14, 2017
Dissenting FINRA Arbitrator Cries Out for Fairness After UBS Victory
June 13, 2017
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
June 10, 2017
FINRA's Foolish Inconsistency
June 9, 2017
FINRA Fines and Suspends Rep Over Savings Goals
June 7, 2017
GUEST BLOG: Dinosaur in the Room by Stephen Kohn
June 5, 2017
Stephen A. Kohn For 2017 FINRA Small Firm Governor
May 30, 2017
FBI Agent Josh and Where's Waldo? Where's OWB?
May 26, 2017
GUEST BLOG: At the SEC, One Year Equal 1,825 Days
May 22, 2017
Potentially Dubious Flexible Rescheduling of SEC Hearing
May 19, 2017
FINRA Says That's Not How To Keep HSBC Customers Satisfied
May 18, 2017
Did FINRA Respondent Beg, Steal, or Borrow?
May 12, 2017
Customer Loses $6.6 Million VirnetX Case Against JP Morgan
May 11, 2017
A Truce Just About Does It In Schwab Solicitation Case
May 8, 2017
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
May 6, 2017
ALJ Weighs Dilemma of Sanctions Versus Punishment For Transfer Agent
May 3, 2017
GUEST BLOG: Are Decepticons Duplicitous? by Stephen Kohn
April 28, 2017
Misconduct Bricks In FINRA Wall of Statutory Disqualification
April 26, 2017
FINRA Arbitrator Says Compliance Not A Call To Sainthood
April 24, 2017
Merrill Lynch Employee Flies First Class After Mystery Man Misuses Corporate Card
April 21, 2017
FINRA Arbitrators Find Everyone At Fault In Customer Case
April 14, 2017
GUEST BLOG: Flawed Attempt for a Good Idea
April 7, 2017
Casino Bets Fade Investors Retirement Savings
April 5, 2017
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
April 1, 2017
Expunging Customer Dispute Information Under FINRA Rule 2080
March 29, 2017
Bill Singer Analyzes FINRA Expungement Rules 2080 and 2081
March 27, 2017
FINRA Rule 8312: The Indecipherable Swamp of BrokerCheck
March 21, 2017
JP Morgan And FINRA Connect The Dots When It Matters
March 17, 2017
SEC Files Dramatic Layering Case
March 10, 2017
FINRA Cites Pennystock Sales By Feltl Rep While Customers Buying
March 10, 2017
UPDATE: FINRA Punches Ticket of Rep Over Office Parking Validation
March 6, 2017
FINRA Punches Ticket of Rep Over Office Parking Validation
February 27, 2017
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
February 25, 2017
GUEST BLOG: Breaking Fake News / THE FIDUCIARY DUTY RULE IS DEAD!!
February 23, 2017
Investment Adviser Charged With Fake Withdrawals and Forgeries
February 22, 2017
Sharemaster, Howard Feigenbaum and Johnny Burris Battle Wall Street's Goliaths
February 20, 2017
Sharemaster Becomes the Beastmaster of FINRA and SEC
February 17, 2017
Merrill Lynch FINOP Cited By SEC for Unprecedented Violations
February 15, 2017
The Will, Disabled Aunt, Stepkids, Executor Nieces, And Stockbroker
February 14, 2017
Is SEC Cherry Picking Case Nit Picking Depositions?
February 13, 2017
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
February 11, 2017
NASD Charges Member For Pursuing Research Biz. Or Was That FINRA?
February 9, 2017
Real Estate Flipper Sued For Investment Fraud
February 8, 2017
Google Subpoena Withdrawn in Brummer v. Wey Defamation Case
February 7, 2017
GUEST BLOG: This Way to Financial Services Reform
February 6, 2017
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
February 4, 2017
Promissory Notes Sales Cause FINRA Domino Effect
February 1, 2017
Subpoena Served on Google in Brummer v. Wey Defamation Case
January 31, 2017
FINRA Arbitration Saga Of the Unnamed and Unheard Lands in Federal Court
January 27, 2017
FINRA's JP Morgan Challenge: Will the Self Regulator End Its Hypocrisy?
January 24, 2017
NSF Check Kiter Snagged In FINRA Regulatory Tree
January 18, 2017
Guilty Plea In FOREX Price Fixing Case
January 13, 2017
FINRA Says Call It A Loan On A Debt That You Owe
January 13, 2017
FOREX Markets Hit By New Indictments
January 11, 2017
SEC Opts For Intercircuit Nonacquiescence
January 9, 2017
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
January 7, 2017
A FINRA Settlement Asks How Long Is Too Long? When Is Enough Enough?
January 3, 2017
FINRA Rule 3270 Outside Business Activities Analysis by Bill Singer
January 2, 2017
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
December 31, 2016
FINRA Rule 3280 Private Securities Transactions Analysis by Bill Singer
December 30, 2016
BREAKING NEWS: Federal Appeals Court Says Securities and Exchange Commission ALJs Unconstitutional
December 28, 2016
5 Years Later: The Politics of Wall Street Regulation Is Unabated
December 28, 2016
FBI Director Comey Offers Wall Street Lawyer Bill Singer Hitch Free US$8 Million
December 23, 2016
FINRA Panel Sides With Zions Direct In Employee Bidding Policy Wrongful Termination Case
December 22, 2016
UPDATE: Hacking (Not Fracking) Gives Oil Industry Website Developer Gas Pains
December 20, 2016
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
December 17, 2016
SEC Charges Adviser Stockbroker With Wheel Turnin' Round And Round Fraud
December 16, 2016
Standby Letter of Credit Walks Away From Duped Investors
December 15, 2016
Two Bit Explanation In $4 Million Morgan Stanley Employment Arbitration
December 13, 2016
Donald Trump, Boeing, And FINRA Fixed Income Fair Charges
December 12, 2016
Stockbroker Repays Client Loan But Ends Up In Trouble
December 9, 2016
Stockbroker Excel Error And Clients Liquidation Losses
December 8, 2016
New Cars and Used Arbitrations
December 7, 2016
The Some and Almost All Of A FINRA Unauthorized Discretion Settlement
December 6, 2016
Stockbroker Goes Aground on FINRA Day Trading Endeavor Bar
December 2, 2016
What The Hell Does It Take For FINRA To Bar A Stockbroker?
November 29, 2016
Bill Singer Dissects FINRA's Acceptance Waiver and Consent Settlement (AWC)
November 28, 2016
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
November 26, 2016
Former Wells Fargo Rep Shocks Firm With Her Stunning Arbitration Win
November 21, 2016
The Most Terrible Crime a Human Being Can Commit
November 18, 2016
SEC ALJ Sings Questions 67 & 68 and 25 or 6 to 4
November 15, 2016
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
November 12, 2016
Merrill Lynch Defamation Ruins Stockbroker Career
November 9, 2016
Trade Error Haunts Stockbroker
November 8, 2016
Death Be Not Proud Or Profitable In SEC Fraud Case
November 7, 2016
Dementia At Issue In Wells Fargo Arbitration
November 2, 2016
Wage Garnishments Are FINRA Smoke Signals
November 1, 2016
Champerty Found In $209 Million Notes Purchase by Cayman Shell from German Bank
October 31, 2016
Has Big Data Made Us Lazy? Speech By SEC Deputy Director Scott W. Bauguess
October 26, 2016
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
October 22, 2016
Merrill Lynch KO'd In $1.6 Million Note Arbitration
October 18, 2016
Veteran Wall Street Critic Bill Singer Slams FINRA Expungement Process
October 17, 2016
Safeguarding Retirees from Getting Cheated out of Their Social Security Payments
October 14, 2016
Defunct Broker-Dealer Loses No-Show Arbitration With Non-Lawyer
October 13, 2016
Veteran Wall Street Lawyer Bill Singer Cracks FINRA Code of Secrecy
October 3, 2016
WTF? FINRA AWC OBA LPL RS CK
September 30, 2016
Customer Twice Victimized By Broker's Impersonation and Online Disclosure
September 29, 2016
NY Life Rep Crosses Arbitration Rubicon With Expungement Case
September 28, 2016
SEC Says Independence Compromised By Auditor And Client Friendship
September 23, 2016
Stockbroker Slips Off Plymouth Rock Movie Studio Deal
September 22, 2016
Defamed PNC Employee Wins Dramatic Expungement
September 20, 2016
GUEST BLOG: Who Is A Customer For Purposes of FINRA Arbitration Rule 12200 by Martin P. Unger Esq
September 16, 2016
The Best Offense Is A Good Defense
September 9, 2016
SEC Begins Sexual Healing of Public Relations Sex Machine
September 8, 2016
Fired Nationwide Rep Wins FINRA Expungement
September 7, 2016
Cyber Security for Financial Firms
September 1, 2016
The Gilligan's Island Iliad Odyssey of a FINRA Customer Arbitration
August 30, 2016
Feds Charge Alt-Fuel, All Electric Company Simply Old Fashioned Hot Air Stock Scam
August 29, 2016
Compliance Is A Sentence, Not A Word
August 26, 2016
FINRA Settlement Enters the RIA and BD Jungle
August 23, 2016
Janus Distributors Slammed In Employment Termination Arbitration
August 16, 2016
SEC Splits Over CPA Bars For PCAOB Audit
August 15, 2016
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
August 13, 2016
Non-FINRA Employment-Loan Lender Ordered to Arbitration By NYS Appellate Court
August 12, 2016
BREAKING NEWS: 2 Circuit Denies Criminal Expungement
August 11, 2016
FINRA Pulls Over JP Morgan Broker In Luxury Car Biz
August 9, 2016
Banker Broker Barred Over Rebate of Overdraft Fees
August 8, 2016
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
August 6, 2016
Morgan Stanley Humiliated in $10 Million Employee Loan Arbitration
August 5, 2016
FINRA Fines and Suspends Broker For Role As Real Estate Agent
August 1, 2016
Earn Reward Points in Ticket Biz Scam With 25 Bogus AMEX Cards
July 20, 2016
Do I Need to Notify the DOL About My RIA's Reliance on the Best Interest Contract Exemption?
July 18, 2016
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
July 16, 2016
SEC Put Writing and Swap Case Slogs To Federal Courts
July 12, 2016
Bill Singer Supports ROBERT MUH for 2016 FINRA Small Firm Governor
July 11, 2016
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
July 9, 2016
Bill Singer Supports ROBERT MUH for FINRA Small Firm Governor
July 8, 2016
Support ROBERT MUH for FINRA Small Firm Governor
July 5, 2016
Get On Board With New FINRA Rule 2273 Before You On-Board Registered Reps
July 1, 2016
Pro Se Stockbroker Wins $435,000 Award In Defamation And Termination Case
June 30, 2016
Lonely Game of Masquerade As FINRA Hides Two Entire Countries
June 29, 2016
Homer Simpson, Killer Tomatoes, and SEC v. McDuff
June 27, 2016
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
June 25, 2016
Take What You Have Gathered From Coincidence In Oral Advisory Fee Agreement
June 22, 2016
FINRA Says Customer Oral Authorization Not Worth The Paper It's Not Written On
June 21, 2016
FINRA Mixed Message About Inflating Sales And Trades
June 20, 2016
Former UBS Securities Employee Wins $2.3 Million In Wrongful Termination Case
June 17, 2016
IRS Says FINRA Schrodinger Cat Has Three Lives
June 16, 2016
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
June 11, 2016
Stop the Federal Bureau of Prisons Anti-Investor Tactics
June 10, 2016
SEC Crisis Response Criticized In Compelling Law Review Article
June 10, 2016
Fraudster Got 300 Months In Prison But Still Frustrates the SEC
June 8, 2016
Deutsche Bank Directors Indicted for LIBOR Fraud
June 6, 2016
Dirty Deeds Done Dirt Cheap On Wall Street
June 2, 2016
UBS Reversed $5 Million Unauthorized Order
June 1, 2016
Love And Marriage On Wall Street
May 25, 2016
UBS and Wells Fargo Wage Thumb Drive Warfare
May 20, 2016
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
May 14, 2016
Online Microcap Finder Fee Platform Raises FINRA Regulatory Concerns
May 12, 2016
Drop Phones and Kickbacks Cited in SEC ForceField Stock Promo Complaint
May 4, 2016
Morgan Stanley Goes After Former Emploiyee Who Joined LPL
May 4, 2016
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
April 30, 2016
Janney Montogmery Scott Loses Promissory Note Arbitration
April 29, 2016
FINRA Sanctions Firm and CCO in Texting Settlement
April 28, 2016
SEC Files Complaints Alleging Pump And Dump Scheme Involving Shell Company
April 27, 2016
Wall Street Critic Bill Singer Revisits His 2009 Reform Proposals
April 22, 2016
The Bank Branch Manager, The Purported Customer, and the IRS Bounced Check
April 11, 2016
Hacking (Not Fracking) Gives Oil Industry Website Developer Gas Pains
April 4, 2016
Unsealed Iranian Indictment Is A Powerful Message, Or So They Say
March 25, 2016
Curious Case Of A Wall Street Wrongful Resignation Lawsuit
March 14, 2016
$30 Million Claims By Former Wells Fargo Broker And Customer
March 11, 2016
Hiding In Plain Site: Undisclosed Criminal Past Was Undetected
March 10, 2016
Oh!!! Unauthorized Trading, Patti O'Furniture, And FINRA's BrokerCheck
March 3, 2016
SEC Cites Stockbroker Over Confidentiality of Inherited Accounts
March 2, 2016
LPL Loses Dramatic Employee Defamation Case
February 29, 2016
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
February 27, 2016
Customer Gifts Shares To UBS Broker. FINRA Gifts Fine and Suspension to Rep
February 24, 2016
FULL TEXT Motion to Compel in Farook / Malik iPhone Case
February 19, 2016
Oral Discretion Isn't Worth The Paper It's Not Written On
February 19, 2016
SEC Settlement Shows Shameful State of Wall Street Research
February 18, 2016
The Houston Terrorist and The Order On Ineptitude
February 9, 2016
Brokerage Firm Censured and Fined for Undetected Statutorily Disqualified Rep
February 3, 2016
FULL TEXT Barclays and Credit Suisse SEC Dark Pools Settlement
February 2, 2016
FINRA Email AWC Raises Question About Regulatory Hypocrisy
January 29, 2016
UPDATE: The Oxford Graduate Who Hadn't, Sent the Check That Didn't Arrive, For the Investment That Wasn't
January 21, 2016
BrokeAndBroker.com Blog by Bill Singer, Esq. WEEK IN REVIEW
January 17, 2016
Butterfield Genie Back In The Bottle But Puzzling Promissory Note Lawsuit Remains
January 13, 2016
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
January 9, 2016
Rude And Divisive Barclays Employee Loses Note Case
January 8, 2016
Macquarie Pays $2.95 Million Blue Sheets Fine
January 6, 2016
Did Registered Rep Voluntarily Quit Or Was She Fired? Arbitrator Says Neither.
January 4, 2016
FINRA and Smarsh Prevail In Spoliation Case
December 28, 2015
SEC Reversed ALJ But Federal Court Reverses SEC
December 21, 2015
SEC Fails to Destroy Daspin Death Star Over Cloud City of Bespin
December 18, 2015
SEC Says Senior Citizen Fraudster Preyed On Elderly Victims
December 17, 2015
Merchant Suckers, Whore, and Little Bitch In FINRA Arbitration
December 16, 2015
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
December 12, 2015
Artwork Purchases and Charitable Donations Cited In FINRA Settlement
December 10, 2015
Morgan Stanley Wins Promissory Note Arbitration Against Former Employee
December 7, 2015
VXX Vapid Hedge Rubs FINRA The Wrong Way
November 5, 2015
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
October 24, 2015
RBC In Breathless Arbitration Over Zombies And Beauty Parlor Fumes
October 22, 2015
Stockbroker Fined and Suspended Over Limited Partnerships and Notes
October 21, 2015
Conspirators Indicted In Online Malware Attacks Against Financial Accounts
October 19, 2015
Sad Saad Saga Sought Second SRO / SEC Shot
October 15, 2015
CASE IN POINT with Bill Singer Premieres Today. EMPLOYMENT TUESDAY at BrokeAndBroker.com
October 13, 2015
SEC Goes After Disbarred Lawyer For Investment Advisory Activity
October 9, 2015
Blackstone Rocked By SEC Over Disparate Legal Fees
October 8, 2015
UPDATE: Federal Appeals Court Reverses Goldman Sachs Arbitration
October 2, 2015
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
September 26, 2015
Another Wall Street Fall Girl Takes A FINRA Flop
September 25, 2015
Ameriprise Inexplicably Loses Promissory Note Case
September 21, 2015
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
September 19, 2015
Folded Note Found On Test Center Floor
September 14, 2015
Things Get Waaaay Worse for Wey UPDATE
September 11, 2015
Man Bites Dog. Stockbroker Lends Money To Customer.
September 10, 2015
Stockbroker Wins Expungement Over Annuities
September 4, 2015
SEC ALJ Sent To Woodshed In Remanded Listing Revocation
August 28, 2015
Stockbroker Wins Customer Expungement Arbitration
August 21, 2015
FINRA Rules 8210 and 9552: The Costs On Not Responding
August 20, 2015
7 Year Arbitration Saga Ends In Ashes For Public Customers
August 13, 2015
UPDATE 2: Law Professor FINRA NAC Member Files Defamation Complaint
August 12, 2015
UPDATE: Former Stockbroker Sues FINRA Over Online Disclosure of 18 Year Old Settlement
August 7, 2015
SEC ALJ Issues Breathtaking Dismissal Of Compliance Professional Case
August 6, 2015
Morgan Stanley Sex Discrimination Arbitration Ends In Federal Court
July 29, 2015
Stockbroker Discharged, Suspended, and Fined Over $100,000 Customer Loan
July 27, 2015
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
July 18, 2015
Court Sends $700,000 Employee Note Dispute To Arbitration
July 17, 2015
Sexual Orientation Harassment And Discrimination In Stifel Promissory Note Case
July 13, 2015
Stockbroker Husband Signs Insurance Loan for Wife But She Denies Authorization
July 9, 2015
Former Employee Sues Firm For Unpaid Commissions
July 6, 2015
Law Professor FINRA NAC Member Files Defamation Complaint
June 29, 2015
BREAKING NEWS: Supreme Court Rules On Gay Marriage
June 26, 2015
Tryin' To Loosen My Load, I've Got 7 SEC Lawyers On My Mind
June 26, 2015
Undisclosed Customer Complaints Cited In FINRA Arbitration
June 24, 2015
All Or None Escrow Mess Seems A Hopeless Situation
June 18, 2015
UPDATE: SEC Derails Scam Train On Trading Platform
June 15, 2015
Fines and Suspensions For Brokers In Sales Quota Sham
June 8, 2015
Failed Email Review Offers Example Of Hidden Compliance Costs
June 5, 2015
Computer Glitch Overpays Stockbroker's Commissions
June 3, 2015
Lost Lavatory Laptop Lands Sterne Agee In Crapper
June 1, 2015
Hundreds of Thousands Defrauded In $50 Million Text Messaging Scam
May 29, 2015
What Would Hillary Do? FINRA Cites AOL Email Account And Gold / Bank Investments
May 27, 2015
FINRA Wrestles With Serious,Aggravating, And Egregious Filing Failures For Forms U4 and BD
May 14, 2015
Bank of America Shows That Wall Street Regulation Stinks From The Head Down
May 6, 2015
FINRA Moves to Dismiss Spoliation Claims
May 5, 2015
SEC Denies Whistleblower Bounty to Claimant Seeking Five Awards
April 30, 2015
SEC Moves Quickly Against Alleged Farm Loan Ponzi
April 29, 2015
FINRA Named As Defendant In Case Alleging Altered Electronic Files
April 24, 2015
FULL TEXT Criminal Complaint in USA v. Sarao Flash Crash Case at BrokeAndBroker
April 22, 2015
US Attorney and SEC Charge Investment Advisor In $20 Million Fraud
April 17, 2015
SEC ALJ Corrects Dollars And Dates But Not Derision
April 15, 2015
SEC Derails Scam Train On Trading Platform
April 13, 2015
SEC Whistleblower Program Is A Black Hole Of Despair
April 9, 2015
FULL TEXT Complaints And Answers in Pao v. Kleiner Perkins
March 27, 2015
BREAKING NEWS: Supreme Court Vacates And Remands Young v. UPS
March 25, 2015
Some Men The SEC Just Can't Reach
March 25, 2015
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
March 21, 2015
Merrill Lynch Blindsided By Former Employee In Promissory Note Case
March 20, 2015
SEC Grants FINRA An Extraordinary Voluminous Extension
March 19, 2015
The Amazing Mobius Strip Of Wall Street Regulation
March 18, 2015
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
March 14, 2015
SEC Declines To Stay FINRA Bars Pending Appeal
March 11, 2015
Stockbroker Sues Non Customer Customer Over Unproven Promissory Note
March 9, 2015
Online Coupon Business Cuts Registered Person
March 6, 2015
Supervisor Fined, Suspended, and Barred In Ponzi Fiasco
March 4, 2015
Former Stockbroker Sues FINRA Over Online Disclosure of 18 Year Old Settlement
February 19, 2015
An IRA, A Husband's Death, A Beneficiary Wife, And Two Regulators
February 9, 2015
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
February 7, 2015
UBS Stockbroker Expungement in Lehman Bond Case
February 6, 2015
Is FINRA Actin' Kinda Shady In Naming (Or Not) Banks?
February 5, 2015
Lawsuit Says FINRA Guilty of Deliberate, Retaliatory,and Malicious Conduct
February 2, 2015
Elderly Sugar Daddy, His Young Thing, And His Banker / Broker
January 30, 2015
Unreasonable AML Policies Cited In Trading Platform Fraud
January 29, 2015
Wells Fargo Associate Duped By Email Scam
January 28, 2015
SEC Sings You're Gonna Have To Serve Somebody With A Proper Brief
January 26, 2015
Chinese Pharma Private Securities Transactions
January 23, 2015
UPDATE: 1st Criminal Prosecution of Layering and Spoofing Hits HFT Sphere
January 13, 2015
Stockbroker Fined And Suspended For Loan To Customers
January 12, 2015
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