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Topic List for Ai (351 results)
An Unsympathetic Federal Court Sustains Unexplained FINRA Arbitration Award
December 27, 2023
SEC Sustains in Part and Remands FINRA Case Against Southeast Investments and President Black
December 8, 2023
JP Morgan Securities Ordered to Pay $1.4 Million in Damages in Unexplained Arbitration
September 21, 2023
SEC Dismisses Attempt to Do Something About a FINRA AWC
August 14, 2023
The FINRA Crypto Hub-bub and William of Ockham
August 7, 2023
Failure to Launch Three FINRA Rule 8210 AWC Settlements
July 7, 2023
Branch Manager and FINRA Fail to See Red Flags of Unsuitability Involving Senior Customers
June 6, 2023
The Six-Year FINRA and SEC Regulatory Saga of Craig Scott Capital
April 26, 2023
FINRA Arbitrators Award Damages Against Morgan Stanley In Case Alleging Customer Lacked Mental Capacity
April 11, 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
Blackbook Capital Versus FINRA: A Decade of Battle
March 6, 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
Bill Singer Slams Garbage Regulation on Wall Street
January 25, 2023
Federal Court Says Customer Had Duty To Notify Schwab of Malfunctioning Order System
January 4, 2023
TD Ameritrade Customer Sues Over Alleged Wrongful Margin Sell-Out
December 22, 2022
Edward D. Jones Fails To Timely or Fully Produce Phone Records to FINRA
December 14, 2022
Intellivest Securities Hunts Down Raiders Who Allegedly Gutted The Brokerage Firm
December 12, 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
Federal Court Denies JPMorgan TRO Against Former Employee But Grants Expedited Discovery
September 15, 2022
Tastyworks Eats $2 Million Worth Of Not-So-Tasty ZOOM Options
August 31, 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
Barred Stockbroker Charged With Five Counts of Wire and Mail Fraud. Did Any Victim Do Any Due Diligence?
August 18, 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
Fidelity Brokerage Services Has Two Trains Runnin' in FINRA Arbitration and Federal Court
July 25, 2022
The Flash Crash, Interactive Brokers, Two Hedge Funds, John Does, and Homer Simpson's Appetite for Donuts
July 6, 2022
FINRA Report Refutes Court Finding of Fundamental Unfairness in Leggett Arbitration (With Updated Conclusion)
June 30, 2022
Former Sales Manager Barred By FINRA After Assistant Takes His CE Training
June 9, 2022
FINRA Fines and Suspends Former Morgan Stanley Rep For Putting Compliance Cart After the Horse
May 18, 2022
FINRA Arbitration Panel Slams Cetera Advisors with $3 Million Defamation Damages
April 29, 2022
FINRA Is Aligning Its MAP CAIF Grouping Model With Firm Tofu And Feedback -- or so it seems
April 21, 2022
Arousing the Wrath of the Great and Powerful SEC and FINRA
March 28, 2022
FINRA and SEC Continue Dakota / Zipper Ping Pong Game of Dubious Regulation
March 18, 2022
SEC Claims Review Staff Tortures Whistleblower With Denial of Eventual $14 Million Award
March 14, 2022
Robinhood Hit With Damages in a Say-Nothing FINRA Arbitration Award
February 17, 2022
Federal Court Can't Find Any Basis For FINRA Arbitration Decision In HSBC Managing Director Case
February 10, 2022
FINRA Customer Claimant Says Arbitrators Left Out Zeros In Award
February 8, 2022
The Collision of the Inept With The Incompetent -- A Wall Street Compliance and Regulatory Tale
December 22, 2021
The European-Style Consolatory Cheek Kiss, the UBS Lawsuit, and the Certified Question
December 2, 2021
Did You Hear About The FINRA Arbitration Against Fidelity For Dental Pain and Suffering?
December 1, 2021
Veteran Stockbroker Sues For Unjust Termination Involving Sales Goals and Outside Business Activities
November 19, 2021
The Ex-Wife, the Ex-Husband Stockbroker, the Two FINRA Arbitrations, the Stale Case, the Default Case, and the Appeal
November 17, 2021
Two of Three FINRA Arbitrators Ironically Disappear In Unexplained Expungement Award
November 16, 2021
There's Something Happening Here (at a FINRA Arbitration ) But What It Is Ain't Exactly Clear
November 8, 2021
No Margin For Error With Options Expiration
November 1, 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
At FINRA, Boys Will Be Boys But Girls Should Act Like Proper Ladies
August 4, 2021
Makin' It Rain At The Strip Club -- FINRA Goes After Adult Entertainment Charges
July 26, 2021
GUEST BLOG [In]Securities: Tell Me Lies by Aegis Frumento Esq
July 9, 2021
2Cir Affirms FINRA Arbitrators Award to Jefferies of $1 Million Liquidated Damages For Aborted Employment
June 7, 2021
FINRA Arbitrators Cite RBC Investigator's Tactics In Disrespectful Award
May 27, 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
Federal Court Rejects TRO Against Brokerage Firm and RIA
May 10, 2021
Federal Circuit Court Says Head Scratchin' Act Not Proof of Securities Fraud Scienter
April 12, 2021
Customer Complaints and Away Settlements -- Matters of Interpretation?
April 9, 2021
GUEST BLOG [In]Securities: The Impossible Dream by Aegis Frumento Esq
March 26, 2021
Remember The Story About The Bernie Sanders Coffee Cup Filled With Feces At Cantor Fitzgerald?
March 25, 2021
Schwab Sued Over Allegedly Malfunctioning Order System
March 23, 2021
FINRA Charges Operations Professional $5,000 for Sushi
March 17, 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
A Hard Rain Falls On A Shattered Nation
January 20, 2021
Last Dance for FINRA's Zipper? Nope, SEC Says Let's Do It Again
December 28, 2020
Federal Court Affirms Merrill Lynch Victory in Nigerian Discrimination Case
December 22, 2020
After Midnight It All Hangs Out In Morgan Stanley Arbitration
December 14, 2020
Outrageous Romance Scam Earns Even More Outrageous Sentence
December 8, 2020
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
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
Not Enough Bull In Stairway to Heaven
October 7, 2020
Federal Court Confirms Merrill Lynch's Counterclaim Victory In Puerto Rico Bond Arbitration
October 6, 2020
Discovery Misconduct by FINRA Enforcement Prompts Tepid Response from Regulator
September 22, 2020
FINRA Arbitrators Find Customer Complaint Made Virtually No Sense During Virtual Hearing
August 19, 2020
UPDATE: No Rationale And No Explanation In FINRA Arbitration Decision
August 18, 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
The Securities Industry Commentator by Bill Singer Esq
August 7, 2020
UPDATE: No Rationale And No Explanation In FINRA Arbitration Decision
July 20, 2020
The Walls Came Down Between Research and Investment Banking
July 8, 2020
UPPER CASE MESSAGES!!! EXCLAMATION POINTS!!! AND A FINRA FINE AND SUSPENSION!!!
June 26, 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
FINRA Arbitrator Sings Signed, Sealed, Delivered and Return to Sender In Default Award
June 9, 2020
[In]Securities Guest Blog: The End of the Line by Aegis Frumento Esq
May 28, 2020
UPDATE: Federal Court Orders Rare TRO In Favor Of Terminated Rep Against Investacorp
May 15, 2020
Federal Court Orders Rare TRO In Favor of Terminated Rep Against Investacorp
May 5, 2020
Damages Awarded in Form U5 Defamation Case Against Allstate
April 28, 2020
[In]Securities Guest Blog: Life's for the Living by Aegis Frumento Esq
April 23, 2020
It Ain't Over Till It's Over As Martinovich Appeals Continue
April 10, 2020
No Membership Port In A Regulatory Storm For Newport Coast Securities
April 7, 2020
Registered Rep Goes Down for the Count -- All 21 of Them
April 1, 2020
Federal Courts Reject FINRA Arbitrators' Manifest Disregard in Respondeat Superior Case
March 31, 2020
Federal Courts Okay FINRA Unexplained Arbitration Decision
March 30, 2020
Court Says No Second Bite of FINRA Arbitration Apple
March 23, 2020
We Will Prevail: Compassion, Sacrifice, and Endurance
March 20, 2020
Not Enough Bull In Stairway to Heaven
March 10, 2020
[In]Securities Guest Blog: Blinded by the Light by Aegis Frumento Esq
February 27, 2020
Wells Fargo Settles Criminal and Civil Sales Practices Cases
February 24, 2020
Guest Blog: The 10 Warning Signs of a Crypto Scam by Jesus Cedeno
February 6, 2020
[In]Securities Guest Blog: Drunk on a Plane by Aegis Frumento Esq
January 16, 2020
[In]Securities Guest Blog: Born to be Wild by Aegis Frumento Esq
January 9, 2020
UPDATE: Court Confirms UBS Promissory Notes Arbitration Citing Delays And Doctor's Note
January 6, 2020
Appellate Court Sustains Criminal Conviction in Schwab Restraining Order Dispute
December 9, 2019
Fee Based Rep Seeks Expungement Over Commissions He Never Charged
December 4, 2019
SEC Whistleblower Program: Three Persons Deemed One Claimant and the 8/10ths of a Human Being
November 19, 2019
[In]Securities Guest Blog: Money for Nothing by Aegis Frumento
October 10, 2019
Does Your Brokerage Contract Bite?
October 9, 2019
No Rationale and No Explanation In FINRA Arbitration Decision
October 8, 2019
Astounding 20 Criminal, Regulatory, and Compliance Cases Featured in Securities Industry Commentator
October 1, 2019
[In]Securities GUEST BLOG: Fantasy by Aegis Frumento Esq
September 26, 2019
[In]Securities GUEST BLOG: Hit the Road, Jack by Aegis Frumento Esq
September 19, 2019
Court Says Morgan Stanley Employee Failed to Opt Out of Arbitration Clause
August 27, 2019
Federal Court Grapples With Compliance Officer's Whistleblowing to FINRA
August 14, 2019
GUEST BLOG: Sittin' On the Dock by Aegis J. Frumento Esq
July 25, 2019
FINRA Fines and Suspends Rep for Unauthorized Transfer of 270 Customers' Info
July 16, 2019
Sultans of Swing. Ukuleles. Brazilians. Nothing Else to Post for July 5th
July 5, 2019
GUEST BLOG: The Great Pretender by Aegis Frumento Esq
June 27, 2019
Wells Fargo Banker and Broker Loses Humpty Dumpty FINRA Arbitration
June 24, 2019
GUEST BLOG: Hero Takes a Fall by Aegis Frumento Esq
June 13, 2019
The Customer Email Order, the Lunchtime Resignation, and The Angry Morgan Keegan Stockbroker
June 10, 2019
Wells Fargo Found Guilty of Defaming Stockbroker for Storing Customer Property
June 3, 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
GUEST BLOG: Acts of Code by Aegis Frumento Esq
May 2, 2019
Federal Court Remands SEC's Willfulness Findings in Robare Form ADV Case
May 1, 2019
GUEST Blog: The Strangled Cries of Lawyers in Love by Aegis Frumento Esq
April 18, 2019
Sonny Corleone At the Toll Booth: A Study of a FINRA Email Review Settlement
April 16, 2019
GUEST BLOG: Inversions by Aegis Frumento Esq
April 11, 2019
FINRA Fines and Suspends Rep for Emailing Confidential Info Of 1,696 Plan Participants
April 3, 2019
FINRA Arbitration Asks If Conservative Strategy Was Too Conservative
April 2, 2019
UBS Wins Promissory Notes Arbitration After Four Delays And A Doctor's Note
March 29, 2019
FINRA Settlement Not Fussing And Fighting But Working It Out
March 25, 2019
GUEST BLOG: OneCoin's Whorl of Woe by Aegis Frumento Esq
March 14, 2019
SEC Whistleblowers Blow Their Own Whistles Too Late For Awards
March 12, 2019
FINRA Arbitrators Award Over $569,000 In Damages For In And Out Transfers
February 22, 2019
Lord Voldemort, Bank of America, Merrill Lynch, FINRA, And Childcare Expenses
February 13, 2019
Sexism on Wall Street: New Chapter, Same Book
February 8, 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
Unsettled Settlement of Managed Account Goof Prompts FINRA Expungement
January 29, 2019
Innocent Stockbroker Lost in Never-Neverland Wins FINRA Expungement
January 28, 2019
BREAKING NEWS: Roger Stone Jr. Indicted on Obstruction, False Statements, and Witness Tampering
January 25, 2019
FINRA Gets Email Snafu Right But Its Regulatory Role Wrong
January 15, 2019
Federal Court Says Former Raymond James Employee Was On Notice of FINRA Arbitration
January 14, 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
Wells Fargo Customer Left Town But Was In the Parking Lot But Wasn't, Sent Letter But Didn't, and Made Phone Call But Hadn't
December 21, 2018
GUEST BLOG: Dishonorable Services by Aegis Frumento Esq
December 20, 2018
GUEST BLOG: Blaming Nobody by Aegis Frumento Esq
December 6, 2018
The Wife, The Husband Stockbroker, The Divorce, The Wife's Complaint, and a FINRA Expungement Arbitration
December 5, 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
GUEST BLOG: Pragmatic Federalism In a Blockchained World by Aegis Frumento Esq
November 15, 2018
Stockbroker Told to Provide Personal Email Account Password to Employer
November 12, 2018
GUEST BLOG: Here Be Dragons by Aegis Frumento Esq
November 1, 2018
E*Trade Best Execution Case Reaches Federal Appeals Court
October 30, 2018
Last Dance? SEC Hopes It Has Finally Zipped Zipper Appeals
October 3, 2018
Stockbroker Pays Undisclosed Customer Settlement But It All Explodes Anyway
September 26, 2018
GUEST BLOG: A Tale of Two Tables by Aegis J. Frumento Esq
September 18, 2018
RBC Stockbroker Wins Expungement of ARS Complaints
September 12, 2018
Stockbroker An Unintended Bystander Victim In Drive-By Customer Complaint
September 10, 2018
Oops I Did It Again, Again in FINRA Public Customer Arbitration
September 7, 2018
Justify Ownership in Deal Genuine For $5.7 Million Abandoned Funds
August 31, 2018
GUEST BLOG: Of Trust, Lattes and Blockchains by Aegis Frumento Esq
August 23, 2018
Chancery Court Denies TRO After Alleged Defamation to SEC and FINRA
August 20, 2018
10 Year Employee Forgivable Loan Battle Frustrates UBS
August 13, 2018
You Owe Me! A Referral Fee FINRA Arbitration Battle
August 3, 2018
FINRA's Innovation Outreach Initiative and Fifth Harmony Taxonomy As Utilized in Fintech AI
July 31, 2018
SEC Seeks to Reform Its Whistleblower Process
July 3, 2018
The Double Edged Sword of Facts And A FINRA Expungement
June 28, 2018
Zipper Plays Sisyphus to FINRA's Zeus
June 21, 2018
Is FINRA Sleepwalking Through Member Firm Examinations?
June 20, 2018
GUEST BLOG: A Suicide on Wall Street
June 13, 2018
FINRA Suspends Stockbroker For Reimbursing Customer Options Losses
June 11, 2018
SEC ALJ Denies Disqualification of Wedbush Lawyer
June 8, 2018
Feuding Stockbrokers Set Stage for Expungement of Cookie Cutter Customer Complaints
June 1, 2018
As the FINRA WORM Turns
May 25, 2018
No Show No Way No How Public Customer FINRA Arbitration
May 15, 2018
Was That Stockbroker's Customer Blowing Steam Or Making a Complaint?
May 11, 2018
FINRA Hardship Waiver Hard To Find
May 4, 2018
FINRA Death Cab for an Un-Fare Email Cutie
April 23, 2018
Oppenheimer and Euro Pacific Duke It Out In $35 Million Unfair Competition Arbitration
April 11, 2018
Merrill Lynch Wins Puerto Rico Bond Arbitration Via Counterclaim
March 23, 2018
FINRA Arbitrators Deem CRD / U5 Disclosures Defamatory
March 19, 2018
Merrill Lynch Employee and AllianceBernstein Work It Out In Unfair Competition Dispute
March 16, 2018
UPDATE: Stockbroker Barred For Abusive Conduct Deemed Threat to Public and Industry
March 15, 2018
Disturbing FINRA Settlement Involving Elderly Client With Dementia
March 13, 2018
Emergency Surgery Fails To Remove Margin Call
February 12, 2018
Rankles Raised In FINRA Expungement
February 8, 2018
SEC Zaps Zipper's Second Stay Request
February 7, 2018
FINRA Sanctions Charitable Remainder Trust Pitch
January 22, 2018
FINRA Firm Sues for $5.6 Million in Unfair Competition Arbitration
January 18, 2018
FINRA Dispute Hangs Out As SEC Unzips Zipper Appeal
January 16, 2018
Rep Emails Self 1,300 Account Numbers And FINRA Comes A Knockin'
January 9, 2018
Class A Mutual Fund Front-End and FINRA Back-End
January 3, 2018
FINRA Wrestles With No Debt False Statement Versus Untrue One
December 28, 2017
A Little Bit of FINRA Hypocrisy For $20,000
December 19, 2017
Season's Greetings From FINRA. You're Fined and Suspended. Ho, ho, ho.
December 12, 2017
Widow Lacks Standing In FINRA Arbitration Involving Husband's IRA
December 8, 2017
Feds Halt Seinfeld Bottle Deposit Scam
December 6, 2017
Bleak Marshall Family Drama Hits FINRA Arbitration
December 4, 2017
UPDATE: SEC Says No Mulligans For FINRA Settlements
November 29, 2017
Spoofing Email Sends Payment To Minneapolis, Shanghai, and Bremen
November 21, 2017
Clever Stipulation In FINRA Expungement Arbitration
November 17, 2017
Humpty Dumpty, FINRA, Sharing, Guarantee, and Losses
November 15, 2017
Merrill Lynch Employee Fined and Suspended for Business Meals by FINRA
November 14, 2017
Was That Customer Email a Discussion, Grievance, or Complaint?
November 2, 2017
Paige Pierce For 2017 FINRA NAC Small Firm Member
November 1, 2017
Delayed Resignation,Twitter,and Email Get Stockbroker Fined and Suspended
October 26, 2017
Absurd Unexplained Public Customer FINRA Arbitration Decision
October 20, 2017
Brokerage Customer Says That What Looks Like A Complaint Wasn't So Intended
October 19, 2017
Fidelity Sues Financial Consultant Over Secrets and Unfair Competition
October 11, 2017
SEC Says No Mulligans For FINRA Settlements
October 3, 2017
Sewage Release By Wall Street Regulators
August 24, 2017
SG Americas Employee Wins (Sort Of) FINRA Employment Arbitration
August 15, 2017
Childbirth and Medical Emergency Impact FINRA Arbitration
August 14, 2017
$5.5 Million Power of Attorney Doctor Sees Dead Lawyers
August 11, 2017
Federal Prosecutors Throw In Towel Against Benjamin Wey
August 9, 2017
Chia Hair Plugs and 100% Principal Protected Lehman Brothers Notes
August 3, 2017
Bond Trader Barred by FINRA Wins Arbitration For Unpaid Wages
July 26, 2017
Elder Abuse Allegations Arise In Wedbush Arbitration
July 20, 2017
FINRA Arbitrators Okay Firing For Failure To Recognize Questionable Activity
July 17, 2017
Rep Wins Expungement of 11 Year Old Complaint At Defunct Brokerage Firm
June 29, 2017
FINRA Arbitrators Can't Explain
June 28, 2017
SEC Settlement Cites Trading Ahead of Research
June 27, 2017
Benjamin Wey Wins Suppression Order In Securities Fraud Criminal Case
June 19, 2017
Dissenting FINRA Arbitrator Cries Out for Fairness After UBS Victory
June 13, 2017
FBI Agent Josh and Where's Waldo? Where's OWB?
May 26, 2017
FINRA's Willy Nilly Tax Lien Settlements
May 25, 2017
Customer Loses $6.6 Million VirnetX Case Against JP Morgan
May 11, 2017
Stunning $413,000 Award to Wells Fargo Employee in Broker Protocol Case
May 5, 2017
GUEST BLOG: Are Decepticons Duplicitous? by Stephen Kohn
April 28, 2017
FINRA Arbitrator Says Compliance Not A Call To Sainthood
April 24, 2017
Broker Dealer Owner Smoked by FINRA in Cannabis Deal
April 20, 2017
FINRA Settles With Advisor Who Acted as POA and Health Surrogate
April 18, 2017
FINRA Arbitrators Find Everyone At Fault In Customer Case
April 14, 2017
FINRA Fines and Suspends Rep For Customer Borrowing
April 13, 2017
Decepticons Invade FINRA As Nationwide Email Program Reload Fails
April 10, 2017
$9 Million Diamond Fraud Detailed in Unsealed Criminal Complaint
April 5, 2017
Stockbroker Barred For Abusive Conduct Deemed Threat to Public and Industry
March 30, 2017
Where There's Willfulness There's No Way At FINRA
March 28, 2017
FINRA Sanctions Emailing of Private Consumer Info
March 2, 2017
SEC Will Not Appeal Bartko And Posts Online Form For Reversing Collateral Bars
February 24, 2017
Investment Adviser Charged With Fake Withdrawals and Forgeries
February 22, 2017
Google Subpoena Withdrawn in Brummer v. Wey Defamation Case
February 7, 2017
SEC Hit By Wave Of Petitions For Removal of Post-Bartko Collateral Bars
February 3, 2017
Subpoena Served on Google in Brummer v. Wey Defamation Case
January 31, 2017
Stockbrokers, Spouses, Marriage, and Away Accounts
January 26, 2017
SEC Collateral Bars Set Aside In Dramatic Bartko Victory
January 18, 2017
Guilty Plea In FOREX Price Fixing Case
January 13, 2017
FOREX Markets Hit By New Indictments
January 11, 2017
UPDATE: SEC Proceeding Is A Travesty of a Mockery Of a Sham of a Mockery of a Travesty of Two Mockeries of a Sham
December 26, 2016
FBI Director Comey Offers Wall Street Lawyer Bill Singer Hitch Free US$8 Million
December 23, 2016
Stockbroker Repays Client Loan But Ends Up In Trouble
December 9, 2016
Supreme Court Rules on USA v. Salman Insider Trading Case
December 6, 2016
The Some and Almost All Of A FINRA Unauthorized Discretion Settlement
December 6, 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
Wage Garnishments Are FINRA Smoke Signals
November 1, 2016
Wanton Disregard Cited In FINRA Raiding Arbitration
October 27, 2016
Imposter Plays Flag Football With Broker Dealer Wire Transfer
October 25, 2016
Safeguarding Retirees from Getting Cheated out of Their Social Security Payments
October 14, 2016
Citigroup Senior Trader Cooks The Books Over Bonus
October 6, 2016
UPDATE: SEC Settlement Gives Respondent 168 Years To Pay
September 26, 2016
PNC and Wells Fargo Stockbroker Wins Customer Complaints Expungement
September 19, 2016
Former Schwab Stockbroker Obliterates Firm In Wrongful Solicitation Case
September 14, 2016
SEC Settles Wrap Fee Cases With Robert W. Baird and Raymond James
September 8, 2016
SEC Proceeding Is A Travesty of a Mockery Of a Sham of a Mockery of a Travesty of Two Mockeries of a Sham
August 31, 2016
Feds Charge Alt-Fuel, All Electric Company Simply Old Fashioned Hot Air Stock Scam
August 29, 2016
Janus Distributors Slammed In Employment Termination Arbitration
August 16, 2016
Foreign Associates Cause FINRA Headache For US Brokerage
August 11, 2016
FINRA Says It's A Matter of Trust Or Is That Trustee?
July 29, 2016
Brokerage Firm Demands $2.6 Million Damages From Former Employees
July 28, 2016
Wells Fargo Customer Wins $181,000 For Failure to Cash Out
July 25, 2016
Feds Unfriend Facebook Fraud Fleecers
July 22, 2016
Secret Customer Settlement Gets Stockbroker Fined and Suspended
July 13, 2016
The Paralysed Force of the SEC And Its Gesture Without Motion
May 31, 2016
SEC Can't Reach Federal Inmate For Telephonic Hearing
May 26, 2016
UBS and Wells Fargo Wage Thumb Drive Warfare
May 20, 2016
BREAKING STORY: FULL TEXT SEC Complaint and DOJ Indictment and Information in Dean Foods Insider Trading Case
May 19, 2016
Wedbush Didn't Know What It Lost Till Its Employee Was Gone to Stifel
May 16, 2016
Female Completed Continuing Ed for Male Supervisor
May 9, 2016
Drop Phones and Kickbacks Cited in SEC ForceField Stock Promo Complaint
May 4, 2016
UPDATE: Working The SEC System From Prison
March 24, 2016
UPDATE: Net Capital Violations Become Federal Criminal Case
March 23, 2016
FINRA Cites Firm and Director For Email Supervision
March 18, 2016
SEC Stops Blue Mountain S-1 Registration
March 7, 2016
Chief Compliance Officer Fined and Suspended For Failed Email Review
March 4, 2016
SEC Cites Stockbroker Over Confidentiality of Inherited Accounts
March 2, 2016
Borrowing From Customer, Tax Liens, Settling Away,Social Media, And More!
February 26, 2016
You Hear The One About The Bleeding Guy in the Hospital Who Shot Himself?
February 25, 2016
UPDATE:Brokerage CEO Sentenced to Prison in Net Capital Case
February 19, 2016
SEC Settlement Gives Respondent 168 Years To Pay
February 17, 2016
FINRA Email AWC Raises Question About Regulatory Hypocrisy
January 29, 2016
Bill Singer Slams FINRA Ameriprise Arbitration Decision For Lack of Content and Context
January 28, 2016
FINRA Fines And Suspends Rep For Service as Director
January 22, 2016
Stockbroker Alters Customer Phone Numbers and Email Addresses
January 14, 2016
Mexico Security Concerns Posed Postal Risk For Brokerage Customer
January 11, 2016
Merrill Lynch Stockbroker Beats Wells Fargo In Employment Dispute
December 23, 2015
That Customer Complaint May Not Be A FINRA Reportable Event
December 4, 2015
The SEC Fears The Email Privacy Act
December 3, 2015
Stockbroker Fined And Suspended In Email Transfer of Customer Info From Merrill To Ed Jones
November 18, 2015
Pennystock Kickback Scheme Gets In Last Kicks at SEC
November 13, 2015
Net Capital Violations Become Federal Criminal Case
November 12, 2015
Echoes of A Stockbroker's Mind For A Hacker On A Wire
November 9, 2015
Grandparents Victimized In Narcotics Bail Scam
November 6, 2015
Compliance Advisor Fined and Suspended For Falsifying Data
November 2, 2015
FINRA Complains About CCO Complaint Reporting
October 29, 2015
Morgan Stanley Client Service Associate Trips Over Wire Request
October 8, 2015
UPDATE: Polygraph Expert Says It Ain't Lying. It's Nervousness
September 28, 2015
FINRA Fines UBS Over Bloomberg Messages
September 16, 2015
Undercover FBI Pennystock Sting
September 9, 2015
FBI Warns About Business Email
September 2, 2015
Unregistered Activity Proves Katalyst For FINRA Settlement
August 31, 2015
Software Glitch Overwhelms Firm's Email Review
July 23, 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
The Goose And Gander Of Forex Fraud Hypocrisy
July 2, 2015
Honor System Fails In FINRA Email Settlement
June 25, 2015
Undisclosed Customer Complaints Cited In FINRA Arbitration
June 24, 2015
SEC Risk Alert Announces Retail Retirement Examinations
June 22, 2015
Fed Court Says Nothing From Nothing Leaves Nothing In AIG Case
June 15, 2015
FINRA Says You've Got A Friend, Fine, and Suspension
June 12, 2015
Failed Email Review Offers Example Of Hidden Compliance Costs
June 5, 2015
What Would Hillary Do? FINRA Cites AOL Email Account And Gold / Bank Investments
May 27, 2015
SEC Commissioner Stein Stands Alone In Her Defense Of The Investing Public And Industry
May 22, 2015
JPMorgan Chase, Citigroup, Barclays, RBS, And UBS Seek SEC Reg D Waivers
May 21, 2015
Stockbroker Fined and Suspended For Sending Customer Data To New Firm
May 18, 2015
Polygraph Expert Says It Ain't Lying. It's Nervousness
May 15, 2015
Wells Fargo Defrauded By Online Dating Check Scam
May 7, 2015
Working The SEC System From Prison
May 1, 2015
FINRA Arbitrators Say Ineffective Fiduciary Did Not Breach Fiduciary Duty
April 17, 2015
The Ponzi, The Inmate, And The SEC's 43,000 Pages In The Mail
April 16, 2015
SEC Derails Scam Train On Trading Platform
April 13, 2015
FINRA Suspends Broker Over Repaid Customer Loan
March 27, 2015
optionsXpress Out Of Email Options
March 26, 2015
Supervisor Fined, Suspended, and Barred In Ponzi Fiasco
March 4, 2015
Wells Fargo Associate Duped By Email Scam
January 28, 2015
The Butcher, Baker, Candlestick Maker and Wall Street CPA
January 22, 2015
FINRA Email Settlement Raises More Questions Than Answers
January 8, 2015
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