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D.A Davidson Wins Unjust Enrichment Arbitration Against Ghost of Christmas Present Former Employee
December 14, 2023
Federal Court Denies Kim TRO and Injunction Against FINRA Enforcement Action
October 10, 2023
SEC Dismisses Attempt to Do Something About a FINRA AWC
August 14, 2023
Federal Circuit Court Says Price Isn't Right In UBS Whistleblower Retaliation
June 7, 2023
A Call for Boycott: FINRA Board of Governors' Cowardly Silence Becomes Thunderous
May 1, 2023
Blackbook Capital Versus FINRA: A Decade of Battle
March 6, 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
TD Ameritrade Escapes $1.7 In Damages But An Advisor Gets Slammed by FINRA Arbitrators
December 29, 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
Brokerage Firm Sues Former Stockbroker for Indemnity After Paying Customer Settlement
November 17, 2022
Frustrated Interactive Brokers Customer Can't Get No Satisfaction With Tesla Order
October 21, 2022
UPDATED: Stone Cold Day of Reckoning for FINRA and Self Regulation
September 12, 2022
Former Ameriprise Rep Files Lawyer Malpractice Complaint After Losing FINRA Promissory Note Arbitration
August 22, 2022
FINRA Arbitration Combines Circular Logic With a Nested Loop and a Mobius Strip in Wage Dispute
July 18, 2022
Boustead Securities Survives Motion to Dismiss in Success Fee Dispute
July 13, 2022
UBS Sued in Federal Court Over Form 1099 Reporting
July 7, 2022
The Flash Crash, Interactive Brokers, Two Hedge Funds, John Does, and Homer Simpson's Appetite for Donuts
July 6, 2022
Guest Blog: Now You See It, Now You Don't by "Regulated or Aggrieved"
June 15, 2022
The Nightmare of a Dream Job on Wall Street
June 7, 2022
FINRA Rights REIT Wrongs With Fine and Suspension
April 18, 2022
For a Second Time, Federal Court Says Price Isn't Right In UBS Whistleblower Retaliation
April 11, 2022
FINRA Arbitrators Hit Commonwealth Financial with Compensatory and Punitive Damages in Defamation Case
March 31, 2022
The Prolonged Saga of In re Goldman Sachs Group, Inc.
December 9, 2021
The European-Style Consolatory Cheek Kiss, the UBS Lawsuit, and the Certified Question
December 2, 2021
Sound of Silence From A FINRA Arbitration That Says Nothing About Anything Despite Awarding $650,000
November 22, 2021
Veteran Stockbroker Sues For Unjust Termination Involving Sales Goals and Outside Business Activities
November 19, 2021
CFTC Awards Largest Single Whistleblower Award of $200 Million But With One Commissioner's Dissent
October 22, 2021
Public Customers Win (Sort Of) Undelineated Cause of Action In Oddball FINRA Arbitration
October 13, 2021
FINRA NAC Affirms OHO But Eliminates Heightened Supervision
October 4, 2021
Federal Court Puts the Confidential Back Into Confidential Settlement Agreement
July 2, 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
Former Raymond James Rep Wins One and Loses One in Employment Disputes
May 6, 2021
Structuring of Eight Bank Deposits Earns FINRA Suspension
April 30, 2021
FINRA Enters Into Fair Settlement Involving Customer Loans and Outside Business Activities
April 20, 2021
Federal Circuit Court Says Head Scratchin' Act Not Proof of Securities Fraud Scienter
April 12, 2021
Schwab Sued Over Allegedly Malfunctioning Order System
March 23, 2021
11 Cir Sees No Breach of Contract by Ohio National in Variable Annuity Commissions Lawsuit
March 22, 2021
FINRA Suffers Stunning Rebuke by SEC in Tysk Appeal
March 8, 2021
Voya Racial Discrimination Case Sheds Harsh Light On Wall Street Mandatory Arbitration
January 11, 2021
The LPL Stockbroker, The Customer Lawsuit, The Expungement Arbitration, and The SLAPP Lawsuit
December 1, 2020
California Court of Appeal Holds Its Ground After Rehearing Tilkey v. Allstate
October 28, 2020
Ballad of a FINRA Man
October 15, 2020
Former Cetera Rep Sues AdvisorNet Financial Over Alleged Supervision and Compliance Failures
October 8, 2020
FINRA Imposes Fine and Suspension Over Deceased Second Cousin Once Removed
September 11, 2020
Perplexing, Baffling FINRA Arbitration Award Affirmed in 4Cir Majority Opinion
August 17, 2020
UPDATE: FINRA Says Brokerage Fee An Undisclosed Commission
August 12, 2020
JPMorgan Chase Bank Wins SDNY Remand to Arbitration of Cashier's Checks Escheat Case
August 4, 2020
Statistical Voodoo in the 2020 FINRA Industry Snapshot Report
August 3, 2020
Federal Court Confirms FINRA Arbitration Award But With More Words And Explanations
June 22, 2020
UPDATE: Federal Court Orders Rare TRO In Favor Of Terminated Rep Against Investacorp
May 15, 2020
FINRA Censures, Fines and Orders Restitution in Suitability Settlement
May 6, 2020
Federal Court Orders Rare TRO In Favor of Terminated Rep Against Investacorp
May 5, 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
Texas Court of Appeals Reverses $3 Million TD Ameritrade Customer Victory
April 15, 2020
Federal Court Transmogrifies FINRA Into State Criminal Prosecutor
December 13, 2019
SEC ALJ Order Discusses Character Witnesses and Inability to Pay
October 30, 2019
Does Your Brokerage Contract Bite?
October 9, 2019
Guest Blog: Merrill Lynch Production Policy Causes Age Discrimination by Jerry Marks, Esq
October 7, 2019
[In]Securities GUEST BLOG: Fantasy by Aegis Frumento Esq
September 26, 2019
A Brief Essentially Devoid of Any Legal Analysis or Citations
September 18, 2019
FINRA Arbitrators Say Who Is On First. I Don't Care. I Don't Give A Darn
September 16, 2019
Another Small Fish Fry on Wall Street Reeks of FINRA Insincerity
July 22, 2019
Former LPL Stockbroker Suspended and Fined For Customer Borrowing
July 9, 2019
Some BS from FINRA in Small Firm AWC
July 8, 2019
GUEST BLOG: Inversions by Aegis Frumento Esq
April 11, 2019
Court Suspends Former NYSE Arbitration Counsel and FINRA Arbitrator
April 10, 2019
FINRA Finds (AGAIN!) That Ameriprise Stockbroker Altered and Concealed Evidence in Customer Arbitration
March 13, 2019
Buyer's Remorse Over Industry Bar Prompts Epic SEC Appeal
November 7, 2018
GUEST BLOG: Big Changes Coming for Small Firms by John Busacca
August 22, 2018
The 93 Year Old Customer with Dementia, The Guardian, The Stockbroker, and the Compliance Officer
July 30, 2018
Morgan Stanley Broker Fined and Suspended For NSF Wires Into His Personal Account
July 19, 2018
Crowdfunding Portal StartEngine Loses Customer Arbitration
July 16, 2018
SEC Seeks to Reform Its Whistleblower Process
July 3, 2018
A Suicide on Wall Street -- and -- The Human Factor on Wall Street
June 15, 2018
The Human Factor On Wall Street
June 14, 2018
BREAKING NEWS: USA v. AT&T Merger Opinion ONLINE
June 12, 2018
2 Lies to FINRA Add Up to 1 Bar
June 4, 2018
FINRA Stretches Definition of Participating in a Private Securities Transaction
May 18, 2018
FINRA Orders Partial Restitution in Activity Letter Settlement
May 8, 2018
Stormy Daniels Issue Hits FINRA Arbitration Remand
April 4, 2018
BREAKING NEWS: Supreme Court Says State Courts May Hear Securities Class Actions
March 20, 2018
Wells Fargo Unpaid Overtime Class Action Gets Second Circuit Nod for AAA Arbitration
March 9, 2018
CCO Fined and Suspended For Amending Her Own U5
March 8, 2018
FINRA Proposes Consolidation of Outside Business Activities and Private Securities Transactions Rules
February 28, 2018
30 Months Of Violations Under FINRA's Nose
February 16, 2018
Rankles Raised In FINRA Expungement
February 8, 2018
Ameriprise and Former Rep Battle It Out Over EFL and Defamation
February 1, 2018
FINRA Sanctions Charitable Remainder Trust Pitch
January 22, 2018
FINRA Fines Firm When Unregistered Principal Acted Presidential
January 17, 2018
FINRA Horse With No Name Named
January 2, 2018
The Damnatio Memoriae of Former SEC Counsel Rory Flynn
December 11, 2017
The FINRA Auction Market for Regulatory Fines and Suspensions
December 7, 2017
SEC Nixes Stay of Statutory Disqualification
November 8, 2017
Federal Appeals Court Deems FINRA Deputy of the Federal Government
November 6, 2017
FINRA Settlement Is A Matter of Time And Price
October 31, 2017
Delayed Resignation,Twitter,and Email Get Stockbroker Fined and Suspended
October 26, 2017
SEC Rejects Stockbroker Appeal of 2006 NASD Bar
October 5, 2017
FINRA Doesn't Like Dinar Time
September 29, 2017
How Long Has This Been Going On? A Case of Delayed FINRA Regulation
September 26, 2017
RBC Stockbroker Father Died and His Son Inherits Unhappy Customer
September 12, 2017
Stockbroker Refunds Commissions To Unhappy Morgan Stanley Customer
September 11, 2017
Weight Management Company Weighs Heavily on Stockbroker's Career
August 29, 2017
FINRA Calls PST Then OBA Then PST. Omaha! Omaha!! Omaha!!!
August 28, 2017
FINRA Arbitrators Okay Firing For Failure To Recognize Questionable Activity
July 17, 2017
FINRA Buries the Lede With FAS Rep Settlement
June 26, 2017
FBI Files Cite Nuclear Reactor In Home Freezer
April 27, 2017
FINRA's Three Handed Monster of a Settlement
April 25, 2017
Citigroup, Its Former Employee, A Breached Contract, Six Blind Men, One Elephant, and FINRA Arbitration
April 17, 2017
Where There's Willfulness There's No Way At FINRA
March 28, 2017
Life Insurance, Wife Insurance, and FINRA Life Settlement Regulation
March 9, 2017
Bill Singer Pans FINRA AWC Peeps Protocol
March 7, 2017
SEC Will Not Appeal Bartko And Posts Online Form For Reversing Collateral Bars
February 24, 2017
GUEST BLOG: Breaking Fake News / THE FIDUCIARY DUTY RULE IS DEAD!!
February 23, 2017
Is SEC Cherry Picking Case Nit Picking Depositions?
February 13, 2017
GUEST BLOG: This Way to Financial Services Reform
February 6, 2017
SEC Hit By Wave Of Petitions For Removal of Post-Bartko Collateral Bars
February 3, 2017
Federal Courts Dismiss Fiduciary Class Action Against JPMorgan
January 30, 2017
FINRA Arbitration Saga Of the Unnamed and Unheard Lands in Federal Court
January 27, 2017
Stockbroker Back Dated Audited Partnership Agreements For Tax Preparer Clients
January 23, 2017
SEC Collateral Bars Set Aside In Dramatic Bartko Victory
January 18, 2017
Guilty Plea In FOREX Price Fixing Case
January 13, 2017
SEC Settles 3 RIA Referral Fees Cases
January 11, 2017
FINRA Rule 3270 Outside Business Activities Analysis by Bill Singer
January 2, 2017
FINRA Rule 3280 Private Securities Transactions Analysis by Bill Singer
December 30, 2016
Bill Singer Dissects FINRA's Acceptance Waiver and Consent Settlement (AWC)
November 28, 2016
Former Wells Fargo Rep Shocks Firm With Her Stunning Arbitration Win
November 21, 2016
FINRA Faked Out By Move
November 14, 2016
FINRA Sanctions Lack of Proactive Compliance
November 3, 2016
Wage Garnishments Are FINRA Smoke Signals
November 1, 2016
SEC Sends Second Valentine Message Not Filled With Love
October 28, 2016
Majestic FINRA Customer Arbitration Decision Grapples With Non Lawyer Role
October 21, 2016
SEC ALJ Sees the Relevant in the Room
October 20, 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
Stockbroker Slips Off Plymouth Rock Movie Studio Deal
September 22, 2016
FINRA Settlement Enters the RIA and BD Jungle
August 23, 2016
SEC Splits Over CPA Bars For PCAOB Audit
August 15, 2016
The Stockbroker, Her Cancer Patient Friend and Customer, And The Estate Complaint
August 10, 2016
FINRA Says It's A Matter of Trust Or Is That Trustee?
July 29, 2016
Wrap It Up! SEC Settles Wrap Fee Case
July 21, 2016
Earn Reward Points in Ticket Biz Scam With 25 Bogus AMEX Cards
July 20, 2016
Lonely Game of Masquerade As FINRA Hides Two Entire Countries
June 29, 2016
Take What You Have Gathered From Coincidence In Oral Advisory Fee Agreement
June 22, 2016
IRS Says FINRA Schrodinger Cat Has Three Lives
June 16, 2016
FINRA Publishes Mitigation Statement in Elderly Client Conversion Case
May 23, 2016
Ameriprise Stockbroker Altered and Concealed Evidence in Consumer Arbitration
May 19, 2016
Approved Outside Business Activity Morphs Into A Troubling Private Securities Transaction
April 27, 2016
A Stockbroker, His Former Customer, A Restaurant, And The New Face of Wall Street Regulation
March 30, 2016
Wall Street Employee Fined and Suspended For Being In 2 Places At Same Time
March 21, 2016
FINRA Statement of Corrective Action Defamation Lawsuit Slams Brokerage Firm
February 5, 2016
FINRA Impounds Stockbroker Over Used Car Biz Loans From Customer
February 1, 2016
FINRA Fines And Suspends Rep For Service as Director
January 22, 2016
The SEC Fears The Email Privacy Act
December 3, 2015
Stockbroker Fined and Suspended Over Limited Partnerships and Notes
October 21, 2015
FINRA Hearing Panel Dismisses Private Offering Case
October 16, 2015
A Little Biz On The Side Gets Rep Fined And Suspended
October 14, 2015
UPDATE: Federal Appeals Court Reverses Goldman Sachs Arbitration
October 2, 2015
SEC Advisory Committee Makes Historic Recommendations for Finder's Fees
September 24, 2015
Unregistered Activity Proves Katalyst For FINRA Settlement
August 31, 2015
Investor Reaction to August 24, 2015 Stock Market
August 24, 2015
Stockbroker Fired and Barred For Role With Privately Held Company
August 24, 2015
Major Fine Slams FINRA Firm For Supervisory Violations
July 22, 2015
Website, Social Media, Fees,and Email Fall Off Compliance Officer's Radar
July 20, 2015
BREAKING NEWS: Supreme Court Issues Historic Obamacare Opinion
June 25, 2015
Honor System Fails In FINRA Email Settlement
June 25, 2015
FINRA Says You've Got A Friend, Fine, and Suspension
June 12, 2015
A Brief History of FINRA ETF Time
June 4, 2015
What Would Hillary Do? FINRA Cites AOL Email Account And Gold / Bank Investments
May 27, 2015
FINRA Moves to Dismiss Spoliation Claims
May 5, 2015
SEC Denies Whistleblower Bounty to Claimant Seeking Five Awards
April 30, 2015
The 100 Year Old Beneficiary, The Stockbroker Trustee, And The Current Former Customer
April 1, 2015
Stockbroker Fined And Suspended For Undisclosed Insurance Biz
March 30, 2015
BREAKING NEWS Supreme Court Vacates / Remands Omnicare Registration Statement Case
March 24, 2015
SEC Grants FINRA An Extraordinary Voluminous Extension
March 19, 2015
Former Lek Employee Suspended For Taking The Fifth At FINRA
March 16, 2015
Online Coupon Business Cuts Registered Person
March 6, 2015
Supervisor Fined, Suspended, and Barred In Ponzi Fiasco
March 4, 2015
Office Condo LLC and Residential Property LLC Add Up To Outside Business Violations
March 2, 2015
Online App Biz Clicks Registered Rep Into OBA Trouble
February 4, 2015
Unreasonable AML Policies Cited In Trading Platform Fraud
January 29, 2015
Chinese Pharma Private Securities Transactions
January 23, 2015
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Kent
Transitional Bonus
UIT
MSPB
Ruemmler
Production Bonus
Burden of Proof
Notice
Alcoholism
Jury Instructions
Harris
finra
Confirmation
NPI
Sterne Agee
ALJ Foelak
NMS
Covid-19
Shotgun Pleading
Risk
Romer
Article V
Motiion to Acquit
Fraudulent Inducement
Grievance
LOA
annuities
Wires
Crowdfunding
Hacker
Confidential Customer Information
defamation
Rule 12511
Bob Dylan
Data
Meals
Office of Special Counsel
Escrow
Clearing Firm
Bill singer
Unauthorized Trades
Stipulation
Reasonable
SIFMA
S&P
Microcap
elderly
Motion to Postpone
Electronic Communications
Fidelity Brokerage Services
Public Arbitrator
Dostoevsky
Bezos
Municipal Bonds
Berthel Fisher
ETFs
Expert
EDVA
FOREX
Currency
CNBC
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No Show
Series 79
Guardian
Punitive
Cryptocurrencies
PN
Exotic ETF
Clayton
Lexicon
Reg D
Ecuador
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Hayden
Newbridge
MDLA
Daughter
Witness Tampering
JPMorgan Chase
NYLIFE
Non-Solicit
Rule 420
Voya
Principal
Quasi Governmental
Exemption
Non Compete
College
Solomon
Day Trading
Disability
Regulation
Elon Musk
Restaurant
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Disparate Treatment
Abstention
AI
Chief Compliance Officer
Willfull
Nietzsche
Bequest
Rule 2330
Rule 9216
Unregistered
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Rule 1031
Game of Thrones
whistleblower
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Investment Adviser
Howey
Harassment
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Broke And Broker
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Traders
Exhaustion Doctrine
SIE
Success Fee
TradeStation
ADR