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Topic List for At (1207 results)
It's All Over Now: My 42-year Wall Street Journey by Bill Singer, Esq.
January 30, 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
Securities Industry Commentator by Bill Singer Esq
December 26, 2023
D.A Davidson Wins Unjust Enrichment Arbitration Against Ghost of Christmas Present Former Employee
December 14, 2023
SEC Sustains in Part and Remands FINRA Case Against Southeast Investments and President Black
December 8, 2023
Securities Industry Commentator by Bill Singer Esq
December 8, 2023
Oral Argument at SCOTUS on SEC v. Jarkesy (Listen to Audio File / Read Transcript)
November 28, 2023
Double Standards In State Regulation and Self Regulation of Wall Street's Large Firms
November 20, 2023
The Regulatory Hypocrisy of the SEC's New Clearing Agency Governance and Conflicts Rules
November 16, 2023
BrokeAndBroker.com Blog by Bill Singer Esq
November 10, 2023
UPDATE: Federal Court Confirms Multi-Million Dollar FINRA Arbitration Award for Charles Schwab Against Morgan Stanley
November 6, 2023
Quantum Physics and FINRA's Inability to Tally the Votes of Its Board Elections
November 2, 2023
Will Schwab Sink or Swim with ThinkOrSwim?
October 30, 2023
Divorced Customer Sues Morgan Stanley Over Bond Purchases
October 25, 2023
Former Rep Sues for Compensation After Involuntary Termination
October 23, 2023
Federal Court Denies Kim TRO and Injunction Against FINRA Enforcement Action
October 10, 2023
Nondisclosure of FINRA 2023 Board Votes Is Hypocritical Lack of Corporate Governance Transparency
October 5, 2023
Wall Street Regulators Provide Express Check-Out Line for Goldman Sachs
September 26, 2023
JP Morgan Securities Ordered to Pay $1.4 Million in Damages in Unexplained Arbitration
September 21, 2023
Kabuki Theater at the Senate Banking Committee Starring SEC Chair Gensler
September 13, 2023
The Hidden FINRA Arbitration Costs for Not Repaying a Promissory Note
September 6, 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
Federal Court Says FINRA Arbitration Not So Lucid in the Sky with Diamonds
July 19, 2023
Federal Court Says Mere Email Noting Change of Employment Does Not Arise to Solicitation
July 18, 2023
Securities Industry Commentator WEEK IN REVIEW by Bill Singer Esq
July 8, 2023
Failure to Launch Three FINRA Rule 8210 AWC Settlements
July 7, 2023
Court Denies Vacatur of Over $2 Million FINRA Arbitration Award Involving Disputed Customer Transfer and Asset Purchase Agreement
June 21, 2023
There's Something Happening Here at a FINRA Customer Arbitration; What It Is Ain't Exactly Clear.
June 14, 2023
SEC Sends FINRA Expungement Back to the Future
June 12, 2023
Federal Circuit Court Says Price Isn't Right In UBS Whistleblower Retaliation
June 7, 2023
Physically Delivering Digital Assets In Order To Satisfy CFTC's Observation
June 5, 2023
SEC Orders FINRA to Raise Its Arbitration Forum Gate For Expungements
May 30, 2023
Light Bulbs, Coffee Cakes, and FINRA's Regulation of Stockbrokers Designated As Estate Beneficiaries
May 25, 2023
FINRA Pulls Its Punches In Felony Non-Disclosure Settlement
May 22, 2023
FINRA Board of Governors Fails to Confront Goldman Sachs $215 Million Gender Discrimination Settlement
May 10, 2023
The Fair But Unsatisfactory FINRA Arbitration Hearing
May 8, 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 Arbitrator Dismisses 21 Year Old Claim Against Citigroup Global Markets
April 28, 2023
FINRA Arbitrators Checkmate SunTrust With Punitive Damages for Misuse of Rep's Name and Picture
April 24, 2023
Time to Call False Start Penalty Against SEC Reg ATS Rulemaking
April 19, 2023
2Cir Remands to EDNY Disparate Sentence in Boiler Room Pumping
April 17, 2023
FINRA Arbitrators Award Damages Against Morgan Stanley In Case Alleging Customer Lacked Mental Capacity
April 11, 2023
Pro Se Registered Respondent A No Show At Arbitration Involving Cambridge Capital Group
April 10, 2023
In 2023 FINRA Settles With Goldman Sachs Over Mismarked Short Sales Dating Back to 2015
April 5, 2023
FINRA Arbitration Award Gives Us A Case of Gas From Chipotle Bean Burrito Puts
April 3, 2023
GUEST BLOG: [In]Securities: The Influencers: The SEC Grounds Stars' TRX by Aegis Frumento Esq
March 31, 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
SEC Tells FINRA to Raise the Gate For Ineligible Expungement Case
March 23, 2023
A Form of Lunacy Has Overtaken the SEC
March 16, 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
The Financial Professionals Coalition: Join Us Today
March 8, 2023
Blackbook Capital Versus FINRA: A Decade of Battle
March 6, 2023
Welcome to the BrokeAndBroker.com Blog and the Securities Industry Commentator Feed
March 1, 2023
Federal Court Deems FINRA Absolutely Immune in Expungement Lawsuit
February 28, 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
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
Imagine That a $10 Million FINRA Arbitration Claim Settles for $100,000
January 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
FINRA Can't Wait Forever Even Though Morgan Stanley Wants It To
December 27, 2022
TD Ameritrade Customer Sues Over Alleged Wrongful Margin Sell-Out
December 22, 2022
FINRA Sued in the Wrong Place At the Wrong Time Affirms Federal Circuit Court
December 21, 2022
FINRA and Citigroup Global Markets Not SHO Enough
December 20, 2022
Newborn Baby, Paternity Leave, Away Account, Loss of Job, and the FINRA Fine and Suspension
December 15, 2022
Intellivest Securities Hunts Down Raiders Who Allegedly Gutted The Brokerage Firm
December 12, 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
Magical Mystery Tour Of A FINRA Arbitration Expungement Award
November 22, 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
FINRA Arbitrators Slam Losing Respondents with Hearing Fees in Breach of Contract Dispute
November 10, 2022
TD Ameritrade Loses FINRA Customer Arbitration Citing Inaccurate Statements and Forced Liquidation
November 9, 2022
The Gensler SEC's Rulemaking Reach Exceeds Its Grasp
November 7, 2022
FINRA Taxonomy News Release Isn't Newsworthy
October 28, 2022
Accessing FINRA Test Center Launch Codes With Colonel Mustard
October 26, 2022
The Problem for A Merrill Lynch Registered Rep Seeking the Expungement of a Settled FINRA Arbitration
October 25, 2022
TD Ameritrade Customer Loses Incorrect Address FINRA Arbitration
October 24, 2022
Frustrated Interactive Brokers Customer Can't Get No Satisfaction With Tesla Order
October 21, 2022
Deferred Compensation Case Meanders to FINRA Arbitration to Federal Court to State Court to Dumpster
October 19, 2022
Beating a Dead Statutorily Disqualified Horse on Wall Street
October 17, 2022
Keeping Up With Kenny -- Not the Kardashians
October 12, 2022
The Disappearing Act of Elder Abuse in a TD Ameritrade FINRA Arbitration
October 6, 2022
SEC Four-Year Strategic Plan Is Generic, Non-Specific, Drivel
September 30, 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
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
BrokeAndBroker.com Hit With Second 2022 DMCA Takedown Notice After Prevailing in Same Dispute in 2020
September 16, 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
Unsettling Settlement Puts FINRA's Board of Governors in Troubling Light
August 29, 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
Claimant Wins $57 Million in FINRA Arbitration Award and Once More Around The Loop with Bill Singer
August 17, 2022
FINRA Arbitration Panel Finds TD Ameritrade Grossly Negligent With Form U5
August 15, 2022
Federal Court Denies Legend Securities President Bankruptcy Discharge of FINRA Customer Arbitration Award
August 10, 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
Georgia Court of Appeals Reverses Leggett v. Wells Fargo
August 3, 2022
Equity And Justice Prevail In Breathtaking FINRA Expungement Award
August 1, 2022
Former Wells Fargo Advisors Senior Vice President Moves Federal Court to Undo 2017 FINRA Settlement
July 27, 2022
BrokeAndBroker.com Blog by Bill Singer Esq
July 26, 2022
Fidelity Brokerage Services Has Two Trains Runnin' in FINRA Arbitration and Federal Court
July 25, 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
Guest Blog: Fair Credit Reporting Act (FCRA) and Regulation S-P by Regulated or Aggrieved
July 11, 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
FINRA Arbitrators Hit Citigroup With $1.4 Million Damages For Discrimination, Harassment, and Retaliation
June 28, 2022
JP Morgan Securities Sued for Over $10 Million in Team Dissolution FINRA Arbitration
June 22, 2022
Guest Blog: Now You See It, Now You Don't by "Regulated or Aggrieved"
June 15, 2022
Securities Industry Commentator by Bill Singer Esq
June 13, 2022
Former Sales Manager Barred By FINRA After Assistant Takes His CE Training
June 9, 2022
The Nightmare of a Dream Job on Wall Street
June 7, 2022
J.P. Morgan Securities Demolished In FINRA Non-Solicitation Arbitration
June 6, 2022
5Cir Issues Historic Rebuke of SEC ALJ System
May 19, 2022
Edward Jones Sued for $15 Million Over Book of Business
May 17, 2022
Wells Fargo Sues Over Transitional and Production Bonuses But Rep Fights Back
May 13, 2022
FINRA Torches Small Brokerage Firm Over Due Diligence Procedures
May 10, 2022
FINRA Arbitrators and Federal Courts Consider If A Terminable-At-Will Employee Can Be Wrongfully Terminated
May 9, 2022
A Customer Complaint That Wasn't and A Servicing Broker Who Wasn't
May 6, 2022
FINRA Arbitration Panel Slams Cetera Advisors with $3 Million Defamation Damages
April 29, 2022
Pro Se Customer Sues Robinhood But Fails To Show For Round One of FINRA Arbitration
April 26, 2022
Who Opened What Type of Account Becomes a Dilemma in E*Trade Federal Court Motion
April 25, 2022
FINRA Is Aligning Its MAP CAIF Grouping Model With Firm Tofu And Feedback -- or so it seems
April 21, 2022
FINRA Rights REIT Wrongs With Fine and Suspension
April 18, 2022
GUEST BLOG: Advisor Perspectives - An Interview with Recently Transitioned Advisors by Michael King of Michael King Associates
April 14, 2022
Unhappy Customers Pull Out All the GameStops In FINRA Arbitration Win Against Charles Schwab
April 12, 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
The 90 Year Old Customer, The Trust Account, Merrill Lynch, the Asset Sale, and the Margin Trade
April 7, 2022
SEC Slaps Generic, Non-Specific Whitewash Over Database Scandal
April 6, 2022
FINRA Sued in the Wrong Place At the Wrong Time
April 5, 2022
The Deceased Mother's IRA, Her Two Sons, Her Deceased Daughter, Her Son In Law, and A Messy Estate Dispute with T. Rowe Price
April 1, 2022
FINRA Arbitrators Hit Commonwealth Financial with Compensatory and Punitive Damages in Defamation Case
March 31, 2022
FINRA Arbitration Claimant Asks Federal Court to Appoint Counsel
March 29, 2022
Arousing the Wrath of the Great and Powerful SEC and FINRA
March 28, 2022
Wells Fargo Promissory Note Case Enters Its Second Decade of Litigation
March 23, 2022
Motion to Vacate FINRA Arbitration Award Fails To Raise Federal Jurisdiction
March 22, 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
Angry E*TRADE Customer Can't Find 750 Shares of Tesla
March 11, 2022
FINRA Arbitrators Award Over $2 Million In Disputed Customer Transfer and Asset Purchase Agreement
March 8, 2022
Former Cantor Fitzgerald Trader Sues Over Wrongful Termination Involving Child Care Leave
March 7, 2022
Fictitious CIA Mission With Bogus Red Cross and Delta Force Influences Became An IRS and Investor Fraud
March 4, 2022
Three-Handed Dilemma Grabs NYAG, NYPPEX, Laurence Allen, and FINRA
March 1, 2022
Federal Courts and FINRA Arbitrators Consider If A Terminable-At-Will Employee Can Be Wrongfully Terminated
February 28, 2022
Federal Court Puts A Fork In Schottenstein FINRA Arbitration and Says It's Done
February 25, 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
Robinhood Hit With Damages in a Say-Nothing FINRA Arbitration Award
February 17, 2022
Customer Lawsuit Puts Robinhood In The News Again
February 15, 2022
SEC Director Calls Awkward Football Audible During Wall Street Gamification Bowl
February 14, 2022
Federal Court Can't Find Any Basis For FINRA Arbitration Decision In HSBC Managing Director Case
February 10, 2022
Securities Industry Commentator by Bill Singer Esq
February 10, 2022
FINRA Customer Claimant Says Arbitrators Left Out Zeros In Award
February 8, 2022
Court Finds FINRA Arbitration Process Not Fundamentally Fair
February 4, 2022
FINRA the Sheriff of Nothing-ham and Robinhood
January 31, 2022
JP Morgan Securities' Regional Director's Affidavit Fails to Carry Day in TRO for Impermissible Solicitation
January 25, 2022
A Bankruptcy, a Voluntary Dismissal, and a Death
January 20, 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
How Many FINRA Enforcement Lawyers Does It Take To Prosecute a Default Case?
January 10, 2022
Securities Industry Commentator by Bill Singer, Esq
January 6, 2022
FINRA Says It Had No Part In Deciding Schwab Customer Arbitration -- Seriously?
December 27, 2021
The Collision of the Inept With The Incompetent -- A Wall Street Compliance and Regulatory Tale
December 22, 2021
FINRA Arbitrator Won't Rewrite Indemnification Clause
December 20, 2021
FINRA Arbitrators Award $1 In Response to $1 Million In Damages Sought (Sort of)
December 13, 2021
The Prolonged Saga of In re Goldman Sachs Group, Inc.
December 9, 2021
California Court of Appeal Retains State Court Jurisdiction of BTIG Employment Retaliation Lawsuit
December 8, 2021
No Show Respondent in FINRA Arbitration Prompts No Explanation in Award
December 6, 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
Appellate Court Affirms $11.5 Million in Damages and Costs in Employment Defamation Case
November 23, 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
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
FINRA Chair Murray Ironically Argues Against Self Regulation
November 4, 2021
No-Show FINRA Member Firm Loses Customer Arbitration But Where is FINRA When It Comes To Collecting on the Award?
November 2, 2021
No Margin For Error With Options Expiration
November 1, 2021
Stipulated Arbitration Award Ends TD Ameritrade Solicitation Dispute
October 28, 2021
FINRA Arbitrators Revise Beneficiaries in Transfer on Death Accounts
October 27, 2021
FINRA Arbitrators Find No Evidence For Customers' $10 Million UBS YES Claims
October 26, 2021
CFTC Awards Largest Single Whistleblower Award of $200 Million But With One Commissioner's Dissent
October 22, 2021
There Was Little She Could Do -- So Why Was This BOM's Record Marked Up?
October 20, 2021
After Morgan Stanley Raised Serious Questions in Failed TRO Against Former Employee, The Parties Stipulate to Preliminary Injunction
October 19, 2021
FINRA, FinCen, Networks, Authorities, Priorities, Statements, Guidance, AML, CFT, BSA, and NBFI
October 14, 2021
Public Customers Win (Sort Of) Undelineated Cause of Action In Oddball FINRA Arbitration
October 13, 2021
The FINRA Expungement of A Customer Complaint That Was Not a Complaint Or From A Customer
October 11, 2021
Troubling FINRA Regulatory Case: Quis custodiet ipsos custodes?
October 7, 2021
FINRA NAC Affirms OHO But Eliminates Heightened Supervision
October 4, 2021
Veteran Wall Street Reform Advocate Bill Singer Esq. Renews Call for Antifraud Fund and PIABA FINRA Board Seat
October 1, 2021
A Thought Piece on Risk from SEC Commissioner Caroline A. Crenshaw
September 28, 2021
FINRA, Claptrap, Fraud, Mental Frames, and Subjective Construals
September 23, 2021
UPDATE: If You Didn't Know But Now Do. If You Hadn't Told FINRA But Did. If You Ask For A Stay But the SEC Doesn't.
August 31, 2021
Surprise, Surprise, Surprise In FINRA Intra-Industry Defamation Arbitration
August 27, 2021
Federal Court Says Signed, Sealed, Delivered, Oooh Baby, It's Arbitration
August 26, 2021
RIP Charlie Watts: You Can Lose The Backbeat
August 25, 2021
FINRA Arbitrator Pens Perfect Rationale in UBS Expungement Award
August 23, 2021
PIABA Wanted Live FINRA Arbitration (But Covid Had Other Plans)
August 19, 2021
Morgan Stanley Raises Serious Questions in Failed TRO Against Former Employee
August 11, 2021
FINRA AWC Did Not Require Acceptance of Findings But Why Does Regulator Publish Denials?
August 9, 2021
Securities Industry Commentator by Bill Singer Esq
August 6, 2021
A Free Credit Card Prompts a Costly Expungement
August 5, 2021
Another Office Girl Gets Slammed By FINRA
July 29, 2021
FINRA Arbitrators Put It There In Disputed AMZN Options Trade
July 28, 2021
GUEST BLOG [In]Securities: Everybody Knows by Aegis Frumento Esq
July 23, 2021
FINRA Sanctions CCO/AMLCO Over Microcap Red Flags And Private Placement Disclosures
July 21, 2021
GUEST BLOG: Transitioning to Independence by Michael King of Michael King Associates
July 16, 2021
FINRA Arbitrators Directly Nullify Indirect Non Solicitation Agreement
July 13, 2021
Wasted Time By FINRA Regulatory Notice
July 12, 2021
Chase Investment Services Says Former Employee Raised Inadmissible Settlement Communication
July 8, 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
Federal Court Puts the Confidential Back Into Confidential Settlement Agreement
July 2, 2021
The SEC Says Sponsored Research Didn't Disclose It Was Paid For
July 1, 2021
Who's Zooming Whom in FINRA Arbitration and Federal Court?
June 29, 2021
FINRA Fines and Suspends Rep for Undisclosed Bankruptcy in PPM
June 25, 2021
Attorney Convicted of 28 Counts in FusionPharm Fraud Case Loses Federal Appeal
June 21, 2021
If You Didn't Know But Now Do. If You Hadn't Told FINRA But Did. If You Ask For A Stay But the SEC Doesn't.
June 16, 2021
2Cir Affirms FINRA Arbitrators Award to Jefferies of $1 Million Liquidated Damages For Aborted Employment
June 7, 2021
Three FINRA AWCs and One Mess of an Arbitration Raise Unanswered Questions About Supervision
June 1, 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
FINRA Publishes Helpful Notice About Online Account Takeover (ATO)
May 17, 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
GUEST BLOG [In]Securities: Mind Games by Aegis Frumento Esq
May 7, 2021
Former Raymond James Rep Wins One and Loses One in Employment Disputes
May 6, 2021
Federal Court Cites Confusion Of Ray Jay's Many Raymond Jameses
May 5, 2021
The Elderly Customer, The Will, The Stockbroker, The Complaining Brother, And The Post-Mortem Wires and Checks
May 3, 2021
FINRA Fear and Wall Street Trembling and The Financial Sickness Unto Death
April 29, 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
Wall Street Compliance Professionals Need FINRA Like A Heart Attack
April 22, 2021
FINRA Enters Into Fair Settlement Involving Customer Loans and Outside Business Activities
April 20, 2021
Insult Added to Injury in Puerto Rico Bond Dispute
April 16, 2021
Desperately Seeking FINRA Arbitration On Remand From Federal Court
April 15, 2021
These Foolish Things Remind Me of FINRA
April 14, 2021
Federal Circuit Court Says Head Scratchin' Act Not Proof of Securities Fraud Scienter
April 12, 2021
JP Morgan Customer Seems To Have Accused Stockbroker of Not Exercising Unauthorized Discretion
April 7, 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
First Circuit Remands NY Life Racism Case to FINRA Arbitration
March 31, 2021
The FINRA Investor Education Foundation Is A Lonely Hunter
March 24, 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 Notice Reminds Firms Of Obligation To Thoughtfully Craft Strong Rules In Advance
March 19, 2021
Securities Industry Commentator by Bill Singer
March 16, 2021
The Grandfather FINRA OBA Paradox
March 15, 2021
Did You Hear the One About the Oligarch Money Launderer and Arms Dealer?
March 11, 2021
A Court Seems Unimpressed by Financial Exploitation of an Elderly Widow
March 10, 2021
FINRA Suffers Stunning Rebuke by SEC in Tysk Appeal
March 8, 2021
As Time Goes By At FINRA And TradeStation
March 4, 2021
Vanguard Compliance Manager Submits Altered and Fabricated Documents to FINRA
March 3, 2021
FINRA Censures and Fines Securities America Over Outsourced Onboarding
March 2, 2021
GUEST BLOG: COVID-19's Impact on Financial Advisors / How the Pandemic is Changing the Way Advisors Work by Michael King of Michael King Associates
February 26, 2021
Finders Keepers Losers Weepers Ends With FINRA Bar
February 25, 2021
Securities Industry Commentator by Bill Singer Esq
February 24, 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
NEWSFLASH: FINRA Observes Bad Actors In the Markets
February 11, 2021
Former West Point Cadet Blows Up Wall Street Career
February 10, 2021
Schottenstein Family Affair Yields About $20 Million FINRA Arbitration Award
February 9, 2021
Federal Court Grants Summary Judgment in Racial Discrimination Case Involving FINRA BrokerCheck
February 8, 2021
3Cir Says Never Is Better Than Late In FINRA Arbitration Appeal
February 4, 2021
FINRA Expungement Takes on Aspects of a Psychiatric Case
February 2, 2021
Former Merrill Lynch / BOA Employee Wins Dramatic FINRA Expungement
January 29, 2021
A Modern Tale of Cybercriminals, Fake ID, and a FINRA Arbitration
January 25, 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
FINRA Fines and Suspends Rep for Taking or Not Giving A Crap
January 19, 2021
FINRA Margin Arbitration Proves All That Glitters Is Not Goldman Sachs
January 15, 2021
Wells Fargo Collects Underpants and Makes Profit But Can't Prove Phase 2 Arbitration Agreement
January 14, 2021
Securities Industry Commentator by Bill Singer Esq
January 13, 2021
Voya Racial Discrimination Case Sheds Harsh Light On Wall Street Mandatory Arbitration
January 11, 2021
A Business Meal That Wasn't. A Job That's No Longer. A FINRA Regulatory Settlement That Hurts
January 7, 2021
Untimely Disclosure of Tax Liens Upends Chief Compliance Officer Via Statutory Disqualification
January 6, 2021
FINRA Arbitrator Says It Wasn't UBS Fraud. It Was Covid
January 4, 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
Federal Court Affirms Merrill Lynch Victory in Nigerian Discrimination Case
December 22, 2020
It's A Schottenstein Family Affair In FINRA Arbitration
December 21, 2020
Federal Court Says Former Morgan Stanley Advisor's Discrimination Claims Are Time Barred
December 18, 2020
A History of SOES, Daytrading, NASD, NASDAQ, DOJ, SEC, Congress, and Robinhood -- and a Massachusetts Complaint and Another FINRA Fine
December 17, 2020
After Midnight It All Hangs Out In Morgan Stanley Arbitration
December 14, 2020
GUEST BLOG [In]Securities: Sometimes, a Man of Peace By Aegis Frumento Esq
December 11, 2020
Outrageous Romance Scam Earns Even More Outrageous Sentence
December 8, 2020
Schemes From a California Restaurant
December 7, 2020
Customer's Annuities Lawsuit Backfires During FINRA Arbitration
December 4, 2020
FINRA Fines and Suspends Former NYLIFE Associated Person For Impersonation
December 3, 2020
FINRA Sanctions Former Morgan Stanley and UBS Reps Over Misuse of Customer Information
December 2, 2020
The LPL Stockbroker, The Customer Lawsuit, The Expungement Arbitration, and The SLAPP Lawsuit
December 1, 2020
Frail, Ineffective OCIE Statement About Complex Financial Products
November 23, 2020
GUEST BLOG: Bill Singer Talks To Industry Recruiter Michael King of Michael King Associates
November 19, 2020
Who Knows Where The Time Goes With Former JP Morgan Rep's FINRA AWC
November 18, 2020
Federal Court Dismisses Challenge to Six Year Old FINRA AWC
November 11, 2020
The Wells Fargo Manager's Wife's Signature on Mortgage Forms
November 5, 2020
The Investment Banker, His Friend, the Friend's Holding Company, and the Two Deals
November 4, 2020
Securities Industry Commentator by Bill Singer Esq
November 3, 2020
California Court of Appeal Holds Its Ground After Rehearing Tilkey v. Allstate
October 28, 2020
DC Circuit Court Sustains SEC Orders Against Thaddeus North
October 27, 2020
JP Morgan Securities Whiffs In FINRA Arbitration Against Raymond James and Three Former Employees
October 26, 2020
NYS Appellate Division Hands Defendants Setback In Lawsuit with Brummer and FINRA
October 22, 2020
Ballad of a FINRA Man
October 15, 2020
Former Cetera Rep Sues AdvisorNet Financial Over Alleged Supervision and Compliance Failures
October 8, 2020
Federal Court Confirms Merrill Lynch's Counterclaim Victory In Puerto Rico Bond Arbitration
October 6, 2020
Pro Se Customer Alleges Unsuitability of Self Directed Put Sales
October 5, 2020
Securities Industry Commentator by Bill Singer Esq
October 1, 2020
Securities Industry Commentator by Bill Singer Esq
September 30, 2020
Securities Industry Commentator by Bill Singer Esq
September 29, 2020
Securities Industry Commentator by Bill Singer Esq
September 28, 2020
Discovery Misconduct by FINRA Enforcement Prompts Tepid Response from Regulator
September 22, 2020
Securities Industry Commentator by Bill Singer Esq
September 21, 2020
Securities Industry Commentator by Bill Singer Esq
September 18, 2020
Federal Court Affirms Federal Jurisdiction in FINRA Arbitration Appeal
September 17, 2020
Wells Fargo Sues Over Transitional and Production Bonuses And Rep Fights Back
September 15, 2020
Securities Industry Commentator by Bill Singer Esq
September 14, 2020
FINRA Fines and Suspends Rep for Transferring Customer List to New Employer
September 10, 2020
Securities Industry Commentator by Bill Singer
September 4, 2020
GUEST BLOG: Bill Singer Talks To Industry Recruiter Michael King of Michael King Associates
September 2, 2020
Securities Industry Commentator by Bill Singer Esq
August 31, 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
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
Perplexing, Baffling FINRA Arbitration Award Affirmed in 4Cir Majority Opinion
August 17, 2020
Securities Industry Commentator by Bill Singer Esq
August 14, 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
The Securities Industry Commentator by Bill Singer Esq
August 7, 2020
JPMorgan Chase Bank Wins SDNY Remand to Arbitration of Cashier's Checks Escheat Case
August 4, 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
UPDATE: No Rationale And No Explanation In FINRA Arbitration Decision
July 20, 2020
The Futility of Futility On Display in FINRA Expungement Dispute
July 17, 2020
Bridgewater Over Troubled FINRA Waters
July 15, 2020
[In]Securities Guest Blog: Good, Bad and Ugly by Aegis Frumento Esq
July 9, 2020
Securities Industry Commentator by Bill Singer Esq
July 7, 2020
Hancock Whitney Investment Consultant Stung with Non-Solicit TRO
July 6, 2020
[In]Securities Guest Blog: Freedom Flashing by Aegis Frumento Esq
July 3, 2020
$25,000 E*Trade Pattern Day Trading Minimum Deposit Requirement Challenged in Federal Lawsuit Against FINRA
July 2, 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
Federal Court Confirms FINRA Arbitration Award But With More Words And Explanations
June 22, 2020
Federal Court Considers FINRA Arbitrability of Insurance Claims
June 18, 2020
Marilyn Booker v. Morgan Stanley & Co., LLC, James Gorman, and Barry Krouk: FULL TEXT COMPLAINT
June 17, 2020
Wells Fargo Promissory Note Case Enters Its Eighth Year of Litigation
June 15, 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 Troubled by Rep's Advance Collection of Asset Management Fees
June 10, 2020
FINRA Arbitrator Sings Signed, Sealed, Delivered and Return to Sender In Default Award
June 9, 2020
Stockbroker Expungement Grapples With Death and Taxes in Time of Plague
June 5, 2020
Wells Fargo Sues Over Transitional and Production Bonuses And Rep Fights Back
June 3, 2020
Federal Courts Grapple With Former TIAA Advisor's Racism and Retaliation Charges
June 2, 2020
Troubling Disconnect and Lack of Appropriate Explanation Found in Scapegoat Defamatory Form U5 FINRA Arbitration
June 1, 2020
FINRA Arbitration Has More In and Out Than A Porn Film
May 29, 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
Credit Suisse Stockbroker Wins Expungement of Suspicious Customer Complaint
May 20, 2020
Commissioner Peirce Sounds the Alarm About Feeding the SEC's CAT
May 18, 2020
UPDATE: Federal Court Orders Rare TRO In Favor Of Terminated Rep Against Investacorp
May 15, 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
Securities Industry Commentator by Bill Singer Esq
May 12, 2020
Securities Industry Commentator by Bill Singer
May 11, 2020
Customer Sues TD Ameritrade For Failure to Investigate Fraudulent Debit Card Transactions
May 8, 2020
[In]Securities Guest Blog: Marconi Plays the Mamba by Aegis Frumento Esq
May 7, 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
Federal Court Cites Confusion of Ray Jay's Many Raymond Jameses
May 4, 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
[In]Securities Guest Blog: Life's for the Living by Aegis Frumento Esq
April 23, 2020
SEC Announces Two Whistleblower Awards But One Is A Redacted Puzzle
April 21, 2020
IRA Dispute Offers a Bleak House for Fidelity Stockbroker
April 20, 2020
Federal Courts Consider Disturbing FINRA Customer Arbitration Decision
April 17, 2020
Securities Industry Commentator by Bill Singer Esq
April 14, 2020
No Good Riddance from GFI In FINRA Good Leaver Arbitration
April 13, 2020
Familiar Names Resurface In SEC Unauthorized Trading Scheme
April 8, 2020
Securities Industry Commentator by Bill Singer Esq
April 6, 2020
[In]Securities Guest Blog: Breathless by Aegis Frumento Esq
April 2, 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
Securities Industry Commentator by Bill Singer, Esq
March 27, 2020
[In]Securities Guest Blog: In Dreams by Aegis Frumento Esq
March 26, 2020
Court Says No Second Bite of FINRA Arbitration Apple
March 23, 2020
The Pen Is Mightier Than The Sword But Don't Bring Either Into A FINRA Test Center
March 18, 2020
FINRA Fines and Suspends MML Rep Over Vacation Rental Property Investment
March 17, 2020
FINRA Arbitrators Award Damages To Customer But Offset With Award to Stockbroker
March 6, 2020
Bill Singer's Annual Warning: Disclose Your Tax Liens
March 4, 2020
FINRA Arbitrators Deny Success Fee Damages to Underwriter
March 2, 2020
Securities Industry Commentator by Bill Singer Esq
February 28, 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
FINRA Fines And Suspends Rep Over Unauthorized Signatures on Self Directed IRA Transfers
February 25, 2020
Wells Fargo Settles Criminal and Civil Sales Practices Cases
February 24, 2020
Securities Industry Commentator by Bill Singer Esq
February 21, 2020
Cannabis Science Case Smokes Definition of Brokerage Customer
February 19, 2020
C'mon And Take A Free Ride. FINRA Arbitration Considers Failed Customer Payment
February 17, 2020
Securities Industry Commentator by Bill Singer
February 14, 2020
[In]Securities Guest Blog: A Political World by Aegis Frumento Esq
February 13, 2020
Securities Industry Commentator by Bill Singer
February 12, 2020
Court Rejects Late Breaking Wisdom As Too Late in FINRA Arbitration Appeal
February 7, 2020
Oppenheimer Wins FINRA Arbitration Award For Stabilization Compensation
February 4, 2020
The Widow, Her Stockbroker, and Her Loans and Gifts to Him
January 29, 2020
FINRA Arbitrator Says It's Too Late To Turn Back Now
January 27, 2020
Prudential Wins Dismissal of Tortious Interference Claim
January 22, 2020
In Today's Securities Industry Commentator
January 21, 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
In Today's Securities Industry Commentator
January 15, 2020
Ameriprise Didn't Know When To Fold In Terminally Ill Customer Case
January 14, 2020
FINRA Arbitrators Cite Untimely RICO Claims By Former Merrill Lynch Executive
January 13, 2020
Dismissed FINRA Arbitration Against JP Morgan Involves Horrific Backstory
January 10, 2020
Cause something is happening and you don't know what it is. Do you, FINRA?
January 8, 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
FINRA Needs To Better Coordinate Its Admonition of Statutory Disqualification
January 3, 2020
Raymond James Rep Can't Get No Non-Attorney Representative To Not Make No FINRA Arbitration Proffer
January 2, 2020
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
Featured in Today's Securities Industry Commentator
December 18, 2019
The Temptations of Collecting Data at the SEC
December 16, 2019
Federal Court Transmogrifies FINRA Into State Criminal Prosecutor
December 13, 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
Appellate Court Sustains Criminal Conviction in Schwab Restraining Order Dispute
December 9, 2019
In Today's Securities Industry Commentator
December 6, 2019
Fee Based Rep Seeks Expungement Over Commissions He Never Charged
December 4, 2019
[In]Securities Guest Blog: Still a Wonderful World by Aegis Frumento Esq
November 27, 2019
What If A Much of a Which of a Wind Gives the Truth to a FINRA Arbitration Lie?
November 26, 2019
In Today's Securities Industry Commentator
November 22, 2019
[In]Securities: Who'll Be Watching Whom? by Aegis Frumento Esq
November 21, 2019
SEC Whistleblower Program: Three Persons Deemed One Claimant and the 8/10ths of a Human Being
November 19, 2019
Federal Court Denies FINRA Arbitration of NY Life Racism Case
November 18, 2019
FINRA Addresses Light Bulb and Coffee Cake Abuses
November 15, 2019
Featured in Today's Securities Industry Commentator
November 13, 2019
2 Pleas, 2 Federal Courts,1 Horrific Ponzi Scheme, and Lots of Lousy Wall Street Regulation
November 6, 2019
Claimant's Attorney In ER, Claimant's Wife Gives Birth, but FINRA Arbitrators Won't Postpone Hearing
October 29, 2019
SEC Says FINRA Doesn't Have To Sell Cheese At Its Arbitration Shop (or something like that)
October 25, 2019
Featured in Today's Securities Industry Commentator by Bill Singer Esq
October 23, 2019
What's Olde Isn't Necessarily New in the Digital Age
October 22, 2019
Muni Rigor Mortis
October 21, 2019
[In]Securities Guest Blog: Make It So by Aegis Frumento Esq
October 17, 2019
Texas Two-Step: 2 FINRA Arbitrations, 2 Texas State Courts, and 2 Texas Federal Courts
October 16, 2019
The Wall Street Simulacrum of Regulation (Now Online and in Video Format)
October 14, 2019
The Illogical Logic of FINRA's Willful Non-Disclosure of Tax Liens
October 11, 2019
No Rationale and No Explanation In FINRA Arbitration Decision
October 8, 2019
Guest Blog: Merrill Lynch Production Policy Causes Age Discrimination by Jerry Marks, Esq
October 7, 2019
Getting the Girl to Do It On Wall Street
October 4, 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
FINRA Arbitrators Angered By Raymond James Tactics
September 25, 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
Citigroup's Cryptic Cryptocurrency Case
September 20, 2019
A Brief Essentially Devoid of Any Legal Analysis or Citations
September 18, 2019
FINRA's JPM Omelet Ends With Egg On the Regulator's Face
September 17, 2019
FINRA Arbitrators Say Who Is On First. I Don't Care. I Don't Give A Darn
September 16, 2019
Perplexing FINRA AWC About the Likely Statutorily Disqualified Rep
September 13, 2019
Old CUSIP. New CUSIP. And a Customer Sues TD Ameritrade
September 11, 2019
Court Allows Wells Fargo Stockbroker to Contact Former But Not Current Clients
September 10, 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
Morgan Stanley Marks Up Stockbroker's Record Over Annuity Complaint by Customer's Nephew
August 29, 2019
Court Says Morgan Stanley Employee Failed to Opt Out of Arbitration Clause
August 27, 2019
The FINRA Dissident Community: A History
August 23, 2019
Reps File FINRA Arbitration Against Former Employer Over Failed Transition
August 19, 2019
Wide Open Arbitration Slam Dunks for Two FINRA Firms. One Scores. One Clangs
August 15, 2019
Pro Se Customer Alleges Unsuitability of Self Directed Put Sales
August 13, 2019
FINRA Conducts Retrospective Rule Review on Senior Investors
August 12, 2019
District Court Denied Morgan Stanley Injunction In Non Solicitation Case
August 9, 2019
Barclays' Bank Shot Caroms Into Federal Court Reprimand
August 8, 2019
Customer Chat with Schwab Chat Representative Prompts FINRA Arbitration
August 7, 2019
FINRA Arbitrators Get Wright Wrong In BB&T Defamation Expungement
August 6, 2019
If It Wasn't For Bad Luck, I Would Not Have No Luck At All in FINRA Arbitration
July 30, 2019
Trading After Death
July 24, 2019
Another Small Fish Fry on Wall Street Reeks of FINRA Insincerity
July 22, 2019
Morgan Stanley Hit with $3 Million FINRA Discovery Sanction
July 17, 2019
FINRA Fines and Suspends Rep for Unauthorized Transfer of 270 Customers' Info
July 16, 2019
FINRA Issues An Extraordinary and Cynical Release
July 12, 2019
Customer's Wife Rescues Former Edward Jones Broker In Expungement Case
July 10, 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: 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
FINRA Foundation To Empower the Underserved But Batteries Not Included
June 28, 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
The Inmate Stockbroker with 51 Disclosures on BrokerCheck
June 18, 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
Comerica Securities Tells Suing Customers It Ain't Me, Babe
June 12, 2019
FINRA Arbitrator Denies Expungement For Legally Meritless Customer Complaints
June 11, 2019
The Customer Email Order, the Lunchtime Resignation, and The Angry Morgan Keegan Stockbroker
June 10, 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
Wells Fargo Found Guilty of Defaming Stockbroker for Storing Customer Property
June 3, 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
The Hysterical and Yelling Customer, The Market Crash, and A FINRA Expungement
May 29, 2019
Not His Trade. Not His Fault. But Stockbroker Still Forced Into FINRA Expungement Arbitration
May 28, 2019
Merrill Lynch Wins Motion to Dismiss Stale Customer Claims -- But Barely
May 24, 2019
Something's Happening With A Discrimination Case But You Don't Know What It Is, Do You Mr. Jones?
May 22, 2019
Fancy Colored Diamonds, Ponzi Cryptocurrency Biz, and A Whole Lot of Victims
May 21, 2019
Member Firm Refuses to Produce Settlement Agreement in FINRA Expungement Arbitration
May 20, 2019
Opioid Addiction on Wall Street: A Wells Fargo Employee Is Barred
May 17, 2019
Former Morgan Stanley Branch Manager Wins Expungement of Failure to Supervise Claims
May 15, 2019
FINRA Arbitrators Slam JP Morgan Over Defamatory Termination
May 13, 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
Bottle of White, Bottle of Red, Perhaps An Assisted Living Bond Instead at FINRA Arbitration
May 3, 2019
Federal Court Remands SEC's Willfulness Findings in Robare Form ADV Case
May 1, 2019
UPDATE: Banker's Affair With Customer's Husband Lands Safra In FINRA Arbitration
April 29, 2019
FINRA Arbitrators Dismiss Customer Claims Involving Stanford International Bank CDs
April 23, 2019
Was Felon A Frequent Flyer or Flight Risk?
April 22, 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
Morgan Stanley Supervisor Goofs But Stockbroker Pays the Price
April 15, 2019
Banker's Affair With Customer's Husband Lands Safra in FINRA Arbitration
April 12, 2019
Court Suspends Former NYSE Arbitration Counsel and FINRA Arbitrator
April 10, 2019
Death Craps Out With Viatical Settlement Dice
April 9, 2019
FINRA Notice To Members 19-10 Should Have Said What It Meant
April 8, 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
Ex-Husband Says Ex-Wife and Stockbroker Looted Insurance Proceeds From Joint Account
April 1, 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
Sterne Agee Wins Partial Subrogation In FINRA Customer Arbitration
March 27, 2019
Former Vanguard Employee Terminated For "Work Avoidance" Fails To Show At His Expungement Hearing
March 26, 2019
FINRA Settlement Not Fussing And Fighting But Working It Out
March 25, 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
Good Intentions Pave Merrill Lynch Stockbroker's Retirement Highway to Hell
March 15, 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
Morgan Stanley Female Rep Survives Former Advisor Program Arbitration
March 11, 2019
Wife Says JP Morgan and Stockbroker Scammed Her In ReFi of Ex-Husband's Mortgage
March 8, 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
Stockbroker Only One Call Away From FINRA Fine and Suspension
March 1, 2019
FINRA Arbitration Costs National Securities In Promissory Note Case
February 27, 2019
FINRA Regulatory Settlement About Vulnerable Individual Raises Troubling Questions
February 26, 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
Stockbroker Infallibility Too High A Bar Says FINRA Arbitrator
February 15, 2019
Former National Securities Corp President/CEO Sues Firm In FINRA Expungement Case
February 12, 2019
Abandoned Car Wreck of Public Customer FINRA Arbitration
February 5, 2019
Debating the Riddle Wrapped In An Enigma of FINRA Intra-Industry Arbitration
February 1, 2019
GUEST BLOG: The Hard Fork in DAO Road by Aegis Frumento Esq
January 31, 2019
Financial Elder Abuse Claims Against Morgan Stanley Die A Tortured Death
January 30, 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
Legal, Regulatory, and Compliance Feed For Wall Street Professionals and Serious Investors
January 23, 2019
Expungement Ten Years in the Making For Merrill Lynch Stockbroker
January 22, 2019
GUEST BLOG: The SEC's Gagging Rights by Aegis Frumento Esq
January 17, 2019
Man Bites Dog. Stockbroker Sues Customer. Dog and Customer Bite Back
January 16, 2019
Federal Court Says Former Raymond James Employee Was On Notice of FINRA Arbitration
January 14, 2019
Hot Nepal Real Estate Market Burns Stockbroker With FINRA Fine and Suspension
January 11, 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
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
Morgan Stanley and Wells Fargo Tackled for Big Loss in $7.7 million FINRA Arbitration
December 28, 2018
Federal Court Considers SEC Subpoena of Outside Consultant Records
December 27, 2018
Scottsdale Sues Rep For Contacting FINRA But FINRA Bars Him For Not Testifying Against Firm
December 26, 2018
Hymn for the Missing FINRA Public Customer Claimant
December 18, 2018
Pro Se Public Customer Walks Out Of FINRA Arbitration Hearing Room
December 17, 2018
FINRA Rule 8210 Demands End With Stockbroker Bar
December 10, 2018
The Complaining Customer Is Dead, The File Is Lost, But A Stockbroker Battles On for Expungement
December 7, 2018
The Wife, The Husband Stockbroker, The Divorce, The Wife's Complaint, and a FINRA Expungement Arbitration
December 5, 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
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
FINRA Arbitrator Sanctions No-Show Public Customer Lawyer
November 26, 2018
Getting Stoned Takes On New Meaning Plus Bonus Grandparent Alert
November 21, 2018
Stockbroker Wins Expungements of Decade Old Customer Complaints
November 20, 2018
Competitively Different Cambridge Loses Culturally Unique FINRA Block Trade Arbitration
November 19, 2018
Legend-ary FINRA Public Customer Arbitration
November 14, 2018
Buyer's Remorse Over Industry Bar Prompts Epic SEC Appeal
November 7, 2018
Customer Withdrawals and Vacations At Heart of Stockbroker Expungement
November 6, 2018
Sole Beneficary Grandnephew Sues Morgan Stanley Questioning Mom's Capabilities
November 5, 2018
Ameriprise Wins Epic Battle With Advisor Who Pled Guilty In Criminal Case
October 31, 2018
UBS Wins FINRA Mandatory Arbitration Appeal
October 26, 2018
GUEST BLOG: FINRA Dictator of Dispute Resolution by Dochtor Kennedy, Esq
October 24, 2018
The Widow, Her Stockbroker Brothers In Law, The Estate, and Delay
October 23, 2018
Ameritas Stockbroker Wins Snowball In Hell Expungement
October 22, 2018
State Farm Stockbroker, His Relative, a Faked Insurance Policy, Travel Perks, Job Loss, and FINRA
October 17, 2018
Don't Speak: The New Motto of Wall Street Compliance and Regulation
October 15, 2018
Customer Seeks $2 Million In Puerto Rico Bond Arbitration
October 12, 2018
Morgan Stanley Customer Sues Over Forced Stop Loss
October 10, 2018
Live from Columbus's Fourth Ship, the Pina Colada: Bill Singer Esq Reports on Wall Street
October 8, 2018
Last Dance? SEC Hopes It Has Finally Zipped Zipper Appeals
October 3, 2018
Merrill Lynch Rep Wins Expungement of Decade Old Customer Complaint
October 2, 2018
LPL Stockbroker Wins FINRA Expungement Despite Six Figure Customer Settlement
October 1, 2018
Double Standard? FINRA Fines and Suspends Wells Fargo Employee For 382 Unauthorized Trades
September 28, 2018
11th Circuit Rejects Mandatory FINRA Arbitration By Customers
September 25, 2018
Public Customer, Brokers, and Brokerage Firm Spit Nails, Eat Lightning, and Crap Thunder
September 24, 2018
UPDATE: 11Cir Sustains SEC and FINRA On Willful Failure to Disclose Tax Liens
September 21, 2018
FINRA Arbitrator Tells Customers Suing Citigroup That It's Too Late Baby
September 20, 2018
The Securities Industry Commentator, a daily Wall Street legal, regulatory, and compliance feed
September 19, 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
Deutsche Bank Securities Hit With $2 Million Award in FINRA Expungement Case
September 14, 2018
RBC Stockbroker Wins Expungement of ARS Complaints
September 12, 2018
In Memoriam 9/11
September 11, 2018
Stockbroker An Unintended Bystander Victim In Drive-By Customer Complaint
September 10, 2018
FINRA Arbitrators Admit FINRA SEC Regulatory Settlements In UBS Puerto Rico Case
September 4, 2018
Date of Birth on Driver License Crashes Stockbroker Career
August 28, 2018
Nietzsche, BeeGees, Kierkegaard, Syndergaard, and Jive Talkin' On Wall Street
August 24, 2018
GUEST BLOG: Big Changes Coming for Small Firms by John Busacca
August 22, 2018
Chancery Court Denies TRO After Alleged Defamation to SEC and FINRA
August 20, 2018
$5 Million Awarded In FINRA Customer Arbitration. Now Let's Beat the Dead Horse
August 17, 2018
GUEST BLOG: A Trillion Reasons By Aegis J. Frumento, Esq.
August 16, 2018
Open Letter to FINRA CEO Robert Cook, Chair Bill Heyman, and Board of Governors
August 15, 2018
Breathtaking Dissent In Industry Arbitration Asks Court To Sanction FINRA
August 14, 2018
10 Year Employee Forgivable Loan Battle Frustrates UBS
August 13, 2018
Mean Spirited FINRA Must Respect Membership Median
August 10, 2018
Where There's A Will, FINRA Says No Way!
August 9, 2018
AAA Arbitrator Disclosures Upend JPMorgan Chase Bank Employment Lawsuit
August 6, 2018
You Owe Me! A Referral Fee FINRA Arbitration Battle
August 3, 2018
Memory Sinks Customer In CD and CMO FINRA Arbitration
August 1, 2018
FINRA's Innovation Outreach Initiative and Fifth Harmony Taxonomy As Utilized in Fintech AI
July 31, 2018
The 93 Year Old Customer with Dementia, The Guardian, The Stockbroker, and the Compliance Officer
July 30, 2018
Magic Moments Dazzle In Legend-ary FINRA Customer Arbitration
July 27, 2018
FINRA Arbitrators Award Commission to Associated Person For Raising Capital for Customer
July 26, 2018
FINRA Arbitrators Slam Wells Fargo With $8.5 Million Puerto Rico Bond Award
July 25, 2018
FINRA Arbitrator Pens Expungement Decision Perfection
July 24, 2018
UPDATE:Non-Attorney Representatives Involved In FINRA Arbitration Blight
July 23, 2018
Morgan Stanley Customer Sues Over Dormant Account Charges
July 20, 2018
5% Solution In FINRA Expungement Arbitration
July 13, 2018
Cut, Pasted, Traced, Signed, Sealed, Delivered . . . and Suspended by FINRA
July 12, 2018
Stockbrokers Victimized by Customer Imposter and FINRA Fees and Charges
July 10, 2018
Morgan Stanley Broker Wins Expungement After Firm Settled With Customer
July 9, 2018
Mentoring Wall Street Professionals About Determination and Persistence
July 6, 2018
Customer and Brokerage Firm Agree: I Wuz Robbed!
July 1, 2018
Somebody's Got To Pay And FINRA Arbitrator Says It's Scottrade
June 29, 2018
The Elderly Wife, The Husband, and The Transfer on Death Account
June 27, 2018
The Deceased Father, Claimant Mother, Daughter, Son In Law Stockbroker, and a Kickboxing Investment
June 26, 2018
Variable Annuities And Wall Street's Jurassic World
June 25, 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
BREAKING NEWS: USA v. AT&T Merger Opinion ONLINE
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
The Imposter, The Signature, The Unregistered Associate, and a FINRA Bar
June 6, 2018
GrandFund in a FINRA Grand Funk
June 5, 2018
2 Lies to FINRA Add Up to 1 Bar
June 4, 2018
Batting 500 In FINRA Expungement
May 23, 2018
Arbitration Mistake Becomes a FINRA Moneymaker
May 22, 2018
FINRA Stretches Definition of Participating in a Private Securities Transaction
May 18, 2018
The Disqualified Stalking Felon Stockbroker, The Texting Stockbroker, The Missouri Waltz, and FINRA
May 17, 2018
Colorado Court Shuts Down FINRA Over Expungement Confirmation
May 16, 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 Orders Partial Restitution in Activity Letter Settlement
May 8, 2018
FINRA Hardship Waiver Hard To Find
May 4, 2018
Pro Se Employee Eviscerated in FINRA Employment Expungement Arbitration
May 3, 2018
UPDATE: Medical Marijuana Biz Goes Up In SEC Smoke
May 1, 2018
Financialindustryregulatory Arthur-Iddy's BrokenCzech Tool
April 30, 2018
FINRA Arbitrators Say Wells Fargo Bank Breached Duty of Customer Care
April 27, 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 Bogarts the Weed In Medical Marijuana Settlement
April 20, 2018
Pyrrhus, Battle of Asculum, a Stockbroker, FINRA, and a Pyrrhic Expungement Victory
April 19, 2018
Of Bullet Fees and In House Counsel Fees In FINRA Employment Arbitration
April 18, 2018
My Way Rules In Pro Se Expungement Case Against J.P. Morgan
April 17, 2018
Drinking, Driving, Felonies, and a Wall Street Regulatory Head-On Collision
April 12, 2018
Oppenheimer and Euro Pacific Duke It Out In $35 Million Unfair Competition Arbitration
April 11, 2018
Setting the Record Straight by Bill Singer, Esq.
April 9, 2018
Crash and Burn Upon Entry Into Wall Street
April 6, 2018
Securities and Exchange Commission Imposters Target Public
April 5, 2018
Stormy Daniels Issue Hits FINRA Arbitration Remand
April 4, 2018
Federal Courts Wrestle With Opening Doors To US Courthouse to KOSPI Class Action
April 2, 2018
FINRA Arbitration Panel Divines Intent of Deceased In Dividing Account Assets
March 29, 2018
Body and Estate and Soul and a Counterfeiter and a Murderer and Merrill Lynch
March 28, 2018
Perennially Hopeless Battle On In JP Morgan FINRA Arbitration
March 27, 2018
FINRA Humiliated In Federal Court Arbitration Appeal
March 26, 2018
Merrill Lynch Wins Puerto Rico Bond Arbitration Via Counterclaim
March 23, 2018
Branch Office Agreement At Heart of Industry Arbitration
March 21, 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
No Winners In FINRA Customer Arbitration
March 14, 2018
Federal Court Sustains FINRA / SEC Over CEO Reckless Disregard of Net Cap Rule
March 12, 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
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
Bubitotious Infectosis, FINRA Exams, and Loaded Dice
March 2, 2018
Non-Attorney Representatives Involved In FINRA Arbitration Blight
March 1, 2018
FINRA Proposes Consolidation of Outside Business Activities and Private Securities Transactions Rules
February 28, 2018
Broker Dealer Wins Indemnification Arbitration Against Stockbroker
February 27, 2018
Wells Fargo Sustains Stunning Promissory Note Loss
February 26, 2018
Scottrade Customer Margin Case Tossed During Discovery
February 23, 2018
Customer Appeals Wells Fargo Arbitration Loss To Federal Court
February 21, 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
Days Late and Dollars Short For Former Oppenheimer Employee
February 14, 2018
Gonna Take My Arbitration Problem to the United Nations
February 13, 2018
SEC Zaps Zipper's Second Stay Request
February 7, 2018
FINRA Stuffs Stifel's Trading Ahead Exemptions
February 2, 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
Defined Benefit Pension Plan Dispute Taxes Stockbrokers and Brokerage Firms
January 30, 2018
The SEC, The Federal Inmate, And The Florida Bar Advice
January 29, 2018
FINRA Fines Firm Over Research Reports Practices
January 26, 2018
Abuse And Harassment On Wall Street
January 25, 2018
Stockbroker Expunges 7 Year Old UBS Customer Suitability Complaint
January 24, 2018
FINRA Sanctions Charitable Remainder Trust Pitch
January 22, 2018
UBS Complex Director Wins Margin Call Battle
January 19, 2018
FINRA Firm Sues for $5.6 Million in Unfair Competition Arbitration
January 18, 2018
FINRA Fines Firm When Unregistered Principal Acted Presidential
January 17, 2018
FINRA Dispute Hangs Out As SEC Unzips Zipper Appeal
January 16, 2018
A Hard Rainmaker Gonna Fall At FINRA
January 12, 2018
FINRA Arbitrators Award $140,000 In Employee Defamation Case
January 11, 2018
I Can't See Clearly Now In Morgan Stanley FINRA Arbitration
January 10, 2018
Rep Emails Self 1,300 Account Numbers And FINRA Comes A Knockin'
January 9, 2018
FINRA's $10,000 Expungement Price-Tag To Clear A Victim's Name
January 5, 2018
Public Customer Rebuked In Two FINRA Arbitrations
January 4, 2018
FINRA Horse With No Name Named
January 2, 2018
FINRA Arbitrator Recommends Expungement of Three Customer Complaints
December 29, 2017
FINRA Wrestles With No Debt False Statement Versus Untrue One
December 28, 2017
FINRA Expungement Arbitration Shows Failed System
December 27, 2017
The Dead Father, Feuding Kids, Stockbroker In The Middle, and the Lawsuit
December 26, 2017
Arbitrators OK Raymond James Liquidation of JTWROS Account for Broker Husband's Loan
December 21, 2017
Second Circuit Reinstates BATS HFT Class Action
December 20, 2017
Victim Blamed For Victimizing Victimizers in ATM Federal Appeal
December 18, 2017
U Can't Touch This PERFECT FINRA Suitability Arbitration Decision
December 15, 2017
FINRA Arbitrator Holds Public Customer Claimant In Contempt
December 13, 2017
The Damnatio Memoriae of Former SEC Counsel Rory Flynn
December 11, 2017
Widow Lacks Standing In FINRA Arbitration Involving Husband's IRA
December 8, 2017
The FINRA Auction Market for Regulatory Fines and Suspensions
December 7, 2017
Bleak Marshall Family Drama Hits FINRA Arbitration
December 4, 2017
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
December 2, 2017
FINRA Arbitrator Gets By With A Little Help of A Friend
November 30, 2017
UPDATE: SEC Says No Mulligans For FINRA Settlements
November 29, 2017
Edward Jones Stockbroker Shot Blanks In FINRA Customer Signature Settlement
November 28, 2017
FINRA Suitability Settlement Involves Five Elderly Retired Morgan Stanley Customers
November 27, 2017
FINRA Plays Hide And Seek With Six Years Of Unauthorized Sales And Withdrawals
November 22, 2017
Spoofing Email Sends Payment To Minneapolis, Shanghai, and Bremen
November 21, 2017
Clever Stipulation In FINRA Expungement Arbitration
November 17, 2017
Voluntary Resignation, Diversion of Customer Funds, and FINRA Bar
November 16, 2017
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
November 11, 2017
97 Year Old Client Names Stockbroker Executor and Beneficiary
November 10, 2017
Five Not So Easy Thought Pieces About Pro Se FINRA Arbitration
November 9, 2017
SEC Nixes Stay of Statutory Disqualification
November 8, 2017
FINRA Schrodinger Cat Is Dead, Alive, and a Zombie
November 7, 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
$3 Million Awarded In UBS FINRA Employment Dispute
October 30, 2017
FINRA Hides The Name of An Affiliated Bank
October 27, 2017
Delayed Resignation,Twitter,and Email Get Stockbroker Fined and Suspended
October 26, 2017
Too Many Questions In Edward Jones TOD Account FINRA Arbitration
October 24, 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
Rep Defends Herself Against Ameriprise EFL Arbitration
October 18, 2017
Former JP Morgan Employee Represents Himself in Paternity Leave Case
October 12, 2017
Fidelity Sues Financial Consultant Over Secrets and Unfair Competition
October 11, 2017
Fixer Upper Biz Puts Stockbroker In Need of Career Renovation
October 9, 2017
SEC Rejects Stockbroker Appeal of 2006 NASD Bar
October 5, 2017
SEC Says No Mulligans For FINRA Settlements
October 3, 2017
SEC Sustains FINRA On Willful Failure to Disclose Tax Liens
October 2, 2017
Child Endangerment Defendant Barred By FINRA
September 28, 2017
FINRA Bars Rep For Arbitration Perjury
September 27, 2017
How Long Has This Been Going On? A Case of Delayed FINRA Regulation
September 26, 2017
UBS Employee Padussis Wins Best Left Unsaid Arbitration
September 25, 2017
Lawyers Cast Aspersions In Nasty FINRA Arbitration Involving Divorced Couple
September 22, 2017
TD Ameritrade Acquires Scottrade Subject To Outdated NASD Rules
September 21, 2017
Wachovia Customer Sues Wells Fargo Over FundSource Losses
September 20, 2017
Harbour and Geneos Customers Win FINRA Arbitration Against Stockbroker
September 19, 2017
Starship Enterprise, Lone Ranger, Tonto, Silver, Pumpkin Spice Latte, And FINRA Settlement
September 18, 2017
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
September 16, 2017
RIA Cherry Picking Case Rings Alarm (Anyone Listening?)
September 15, 2017
FINRA Arbitrator Unimpeded By Defaulting Brokerage Firm
September 13, 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
How Long Has This FINRA Violation Been Going On?
September 8, 2017
Veteran Sues USAA Investment Mgmt Over Alleged Mental Disability
September 7, 2017
The Merry-Go-Round of FINRA Reform. This Time It Won't Be Any Different Again
September 6, 2017
UPDATE: Merrill Lynch FINOP Cited By SEC for Unprecedented Violations
September 1, 2017
PNC Loses Wrongful Termination FINRA Arbitration
September 1, 2017
SEC Case Against S&P Duka Fizzles Out
August 30, 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
What's the Frequency FINRA?
August 25, 2017
Newman and Salman Come Into Play With Conradt Appeal
August 23, 2017
Zombie Customer Complaint Will Not Die After 35 Years
August 22, 2017
Stifel Prevails In Arbitration But Former Hilltop Employees Hit With Awards
August 21, 2017
Negligent Market Manipulation In OTC Stock Promotion
August 18, 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
FINRA Felony Jigsaw Puzzle
August 10, 2017
This Wall Street Train of Regulation Don't Pull No FINRA Winkers
August 8, 2017
Opening Pandora's Box of Puts
August 4, 2017
Chia Hair Plugs and 100% Principal Protected Lehman Brothers Notes
August 3, 2017
Tullet Prebon Wins Blackballing Arbitration
August 2, 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
FINRA 2017 Small Firm Governor Election Underway
July 24, 2017
A FINRA JP Morgan Arbitration,Jamie Dimon's Embarrassment and Bill Singer's Apoplexy
July 21, 2017
Elder Abuse Allegations Arise In Wedbush Arbitration
July 20, 2017
FINRA Arbitrators Okay Firing For Failure To Recognize Questionable Activity
July 17, 2017
The Customer Settles And The Stockbroker Wins An Expungement
July 13, 2017
UPDATE: SEC Denies Wanger Re-Entry Into Industry
July 12, 2017
Testing FINRA's Test Center Patience
July 11, 2017
FINRA Disciplinary Settlement Raises Relevancy of Any
July 10, 2017
Let There Be Songs To Fill The Air
July 3, 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
FINRA Buries the Lede With FAS Rep Settlement
June 26, 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
FINRA Fines And Suspends Husband For Adding His Wife As Customer's Annuity Beneficiary
June 20, 2017
Stockbroker and Wife Fake Statements For Home Loan
June 16, 2017
Dissenting FINRA Arbitrator Cries Out for Fairness After UBS Victory
June 13, 2017
Sales Assistant and Broker Impersonate Client and Son
June 12, 2017
BREAKING NEWS: SEC Loses Supreme Court Kokesh Disgorgement Case
June 5, 2017
2017 FINRA Small Firm Governor Petition Candidates
June 3, 2017
Bill Singer Submits Rare FINRA Comment
June 1, 2017
Wipe Out! A FINRA Arbitration Hit By Two Groups
May 31, 2017
FINRA's Willy Nilly Tax Lien Settlements
May 25, 2017
FINRA Says That's Not How To Keep HSBC Customers Satisfied
May 18, 2017
Tell Me Why: Unanswered Questions In FINRA Expungement
May 17, 2017
FINRA Arbitrators Sustain TD Ameritrade Margin Sell-Out
May 16, 2017
Customer Loses $6.6 Million VirnetX Case Against JP Morgan
May 11, 2017
Edward Jones Loses Trade Secrets Arbitration
May 10, 2017
FINRA Hoisted With Its Own BrokerCheck Petard
May 9, 2017
A Truce Just About Does It In Schwab Solicitation Case
May 8, 2017
Stunning $413,000 Award to Wells Fargo Employee in Broker Protocol Case
May 5, 2017
FINRA Arbitrator Tosses Stale Wells Fargo Customer Case
May 4, 2017
PNC Employee Wins $1.8 Million Wrongful Termination Award
May 2, 2017
Stockbroker Expunges Complaint About Profitable Investment
May 1, 2017
Misconduct Bricks In FINRA Wall of Statutory Disqualification
April 26, 2017
FINRA's Three Handed Monster of a Settlement
April 25, 2017
Merrill Lynch Employee Flies First Class After Mystery Man Misuses Corporate Card
April 21, 2017
FINRA Settles With Advisor Who Acted as POA and Health Surrogate
April 18, 2017
Citigroup, Its Former Employee, A Breached Contract, Six Blind Men, One Elephant, and FINRA Arbitration
April 17, 2017
FINRA Arbitrators Find Everyone At Fault In Customer Case
April 14, 2017
FINRA Fines And Suspends Merrill Rep For Altering Client Documents
April 12, 2017
FINRA Settles With Merrill Lynch Rep Who Tried To Sell Customer Information
April 11, 2017
Decepticons Invade FINRA As Nationwide Email Program Reload Fails
April 10, 2017
GUEST BLOG: Flawed Attempt for a Good Idea
April 7, 2017
Edward Jones Customer Fully, Finally, and Forever Settles But Wants A Second Bite
April 4, 2017
The Dry Cleaner, Planet Alderaan, FINRA, Wells Fargo, and the Disturbed Force
March 31, 2017
Stockbroker Barred For Abusive Conduct Deemed Threat to Public and Industry
March 30, 2017
Expunging Customer Dispute Information Under FINRA Rule 2080
March 29, 2017
Where There's Willfulness There's No Way At FINRA
March 28, 2017
Bill Singer Analyzes FINRA Expungement Rules 2080 and 2081
March 27, 2017
Warp Speed Dismissal in Lightspeed Trading Arbitration
March 24, 2017
Invesco Loses FMLA Wrongful Termination Case
March 22, 2017
Damnable Costs of FINRA Expungement
March 20, 2017
Inconsistent FINRA Findings of Willful Nondisclosure Persist
March 13, 2017
SEC Files Dramatic Layering Case
March 10, 2017
Public Customer Sues Merrill Lynch for $7.3 Trillion
March 8, 2017
UPDATE: FINRA Punches Ticket of Rep Over Office Parking Validation
March 6, 2017
The Dead Customer, Her Son, Trading Losses, and Stockbroker's Expungement
March 3, 2017
FINRA Sanctions Emailing of Private Consumer Info
March 2, 2017
FINRA Arbitration Panel Asks: Bueller? Bueller??
March 1, 2017
FINRA Punches Ticket of Rep Over Office Parking Validation
February 27, 2017
SEC Will Not Appeal Bartko And Posts Online Form For Reversing Collateral Bars
February 24, 2017
Hidden Warning In SEC Corporate Disclosure Defaults
February 16, 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
Medical Marijuana Biz Goes Up In SEC Smoke
February 10, 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
SEC Hit By Wave Of Petitions For Removal of Post-Bartko Collateral Bars
February 3, 2017
Heritage Foundation Releases Landmark Report on FINRA
February 2, 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
Stockbroker Back Dated Audited Partnership Agreements For Tax Preparer Clients
January 23, 2017
Federal Appeals Court Does Not See Fraud By Hindsight
January 20, 2017
POSITION AVAILABLE: Broker Dealer Compliance Consultant
January 20, 2017
FULL TEXT Complaint Paul McCartney v. SONY
January 19, 2017
FINRA NAC Member Brummer Files Amended Defamation Complaint
January 19, 2017
SEC Collateral Bars Set Aside In Dramatic Bartko Victory
January 18, 2017
Stockbroker Impersonations Prompt FINRA To Ask Who Are You
January 17, 2017
Guilty Plea In FOREX Price Fixing Case
January 13, 2017
Tax Liens and Wall Street Disqualification
January 12, 2017
SEC Settles 3 RIA Referral Fees Cases
January 11, 2017
FINRA Arbitrators Slam Wedbush In Pay Dispute
January 10, 2017
FINRA Arbitrators Rewrite Mutual of Omaha Form U5 Termination Comment
January 5, 2017
FINRA Rule 3280 Private Securities Transactions Analysis by Bill Singer
December 30, 2016
5 Years Later: The Politics of Wall Street Regulation Is Unabated
December 28, 2016
UPDATE: Scottsdale Sues FINRA In Edgy Effort To Halt Disciplinary Case
December 27, 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
SEC Shuts Down RIA Cherry Picking
December 21, 2016
Standby Letter of Credit Walks Away From Duped Investors
December 15, 2016
Edward Jones Discriminated Against Female Employee
December 14, 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 Excel Error And Clients Liquidation Losses
December 8, 2016
New Cars and Used Arbitrations
December 7, 2016
Supreme Court Rules on USA v. Salman Insider Trading Case
December 6, 2016
FEDERAL FUMBLES: 100 Ways the Government Dropped the Ball
December 5, 2016
SEC Amicus Brief Raises Uncomfortable Questions About SRO Immunity
December 1, 2016
Federal Judge Says What She Means In ARS Case
November 30, 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
Former Wells Fargo Rep Shocks Firm With Her Stunning Arbitration Win
November 21, 2016
SEC ALJ Sings Questions 67 & 68 and 25 or 6 to 4
November 15, 2016
FINRA Faked Out By Move
November 14, 2016
FINRA Settles Non Disclosure Of Tax Liens Without Finding Willfulness
November 11, 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
FINRA Sanctions Lack of Proactive Compliance
November 3, 2016
Dementia At Issue In Wells Fargo Arbitration
November 2, 2016
Has Big Data Made Us Lazy? Speech By SEC Deputy Director Scott W. Bauguess
October 26, 2016
Imposter Plays Flag Football With Broker Dealer Wire Transfer
October 25, 2016
The Chief Compliance Officer, The Taxman, And FINRA
October 24, 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
FINRA Cites Unfair ACAT Charge And Slow Transmittal of Funds
October 19, 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
Caveat Emptor Proves True In Purchase Of Troubled Broker Dealer
October 11, 2016
Schwab Sues Customer In Stock Options Dispute
October 10, 2016
Wall Street Regulation Understood Backwards
October 7, 2016
Lo And Behold: Wells Fargo Claws Back Manager Compensation
October 5, 2016
Texas State Senator Rodney Ellis Wins FINRA Employment Arbitration
October 4, 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
Stockbroker Slips Off Plymouth Rock Movie Studio Deal
September 22, 2016
Wells Fargo's Stumpf Stumbles And FINRA Fumbles
September 21, 2016
Defamed PNC Employee Wins Dramatic Expungement
September 20, 2016
PNC and Wells Fargo Stockbroker Wins Customer Complaints Expungement
September 19, 2016
GUEST BLOG: Who Is A Customer For Purposes of FINRA Arbitration Rule 12200 by Martin P. Unger Esq
September 16, 2016
Town Treasurer, Brokerage Financial Principal, Forged Checks, and Heroin for Sex
September 15, 2016
Former Schwab Stockbroker Obliterates Firm In Wrongful Solicitation Case
September 14, 2016
Ex-Wife Sues Wells Fargo Stockbroker Over Expert Witness Role In Divorce
September 13, 2016
Fired Nationwide Rep Wins FINRA Expungement
September 7, 2016
Career Skid Marks Left By Altered Auto Insurance Declaration Page
September 6, 2016
California Court of Appeal Says FINRA Expungement Hearing Unfair
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 Protective Order Addresses Private Confidential Information (PCI)
August 25, 2016
FINRA Arbitration Soccer Match Ends With Penalty Kicks
August 24, 2016
FINRA Settlement Enters the RIA and BD Jungle
August 23, 2016
I Don't Want To Miss A Thing In Customer's Armageddon FINRA Arbitration
August 22, 2016
Janus Distributors Slammed In Employment Termination Arbitration
August 16, 2016
Non-FINRA Employment-Loan Lender Ordered to Arbitration By NYS Appellate Court
August 12, 2016
Foreign Associates Cause FINRA Headache For US Brokerage
August 11, 2016
The Stockbroker, Her Cancer Patient Friend and Customer, And The Estate Complaint
August 10, 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
Morgan Stanley Humiliated in $10 Million Employee Loan Arbitration
August 5, 2016
Citigroup Investment Banker Punished by FINRA for Good Deeds?
August 3, 2016
The Stockbroker, The Barred Customer, And The Sister-In-Law's Company
August 2, 2016
FINRA Fines and Suspends Broker For Role As Real Estate Agent
August 1, 2016
Brokerage Firm Demands $2.6 Million Damages From Former Employees
July 28, 2016
Time And Chance on Wall Street And A Customer's Belated Arbitration Complaint
July 27, 2016
Lawsuit Pits Wrongful Termination Against Hyped Trailing Revenues
July 26, 2016
Wells Fargo Customer Wins $181,000 For Failure to Cash Out
July 25, 2016
Feds Unfriend Facebook Fraud Fleecers
July 22, 2016
Ex-Wife, Deceased Father, Executrix Daughter, Retirement Account, and Annuity
July 19, 2016
Do I Need to Notify the DOL About My RIA's Reliance on the Best Interest Contract Exemption?
July 18, 2016
All Along The Wall Street Watchtower
July 14, 2016
Customer Lays $10 Million Egg in Charles Schwab Arbitration
July 7, 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
Wedbush Ordered to Pay Attorneys Fees After Untimely Payment of Attorneys Fees
June 28, 2016
The Husband's IRA, The Ex-Wife, The Forgeries, The Withdrawals, And The Lawsuit
June 23, 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
Stop the Federal Bureau of Prisons Anti-Investor Tactics
June 10, 2016
SEC Crisis Response Criticized In Compelling Law Review Article
June 10, 2016
BrokerCheck Dispute Says FINRA Wrongly Says SEC Bar is Permanent
June 9, 2016
Rep Says Merrill Lynch Failed to Enroll Him In Deferred Comp Plan
June 7, 2016
Deutsche Bank Directors Indicted for LIBOR Fraud
June 6, 2016
Dirty Deeds Done Dirt Cheap On Wall Street
June 2, 2016
FINRA Publishes Mitigation Statement in Elderly Client Conversion Case
May 23, 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
Ameriprise Stockbroker Altered and Concealed Evidence in Consumer Arbitration
May 19, 2016
Americans for Financial Reform Protest Forced Consumer Arbitration
May 18, 2016
Columbia Business School Professor Gets Prison For investor Fraud
May 18, 2016
BREAKING NEWS: Bank of America Hit In Lurid Gender Pay Bias Lawsuit
May 17, 2016
Wedbush Didn't Know What It Lost Till Its Employee Was Gone to Stifel
May 16, 2016
Wells Fargo Employee Withdraws Money From Customers ATM Accounts
May 13, 2016
Online Microcap Finder Fee Platform Raises FINRA Regulatory Concerns
May 12, 2016
FINRA Sanctions Stockbroker's Loans From Mom, Friend and Friend's Wife
May 11, 2016
FINRA Wins Scottsdale Capital Advisors Motion to Dismiss
May 9, 2016
Female Completed Continuing Ed for Male Supervisor
May 9, 2016
Mom, Sister-In-Law, Two Brothers, and Stock Proceeds
May 6, 2016
Half Baked Apple REIT Case Dismissed Against David Lerner Associates
May 5, 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
Janney Montogmery Scott Loses Promissory Note Arbitration
April 29, 2016
Approved Outside Business Activity Morphs Into A Troubling Private Securities Transaction
April 27, 2016
Wall Street Critic Bill Singer Revisits His 2009 Reform Proposals
April 22, 2016
E*Trade Employee Wins Form U5 Expungement
April 14, 2016
Broker Protocol Cited In Bonus Retention Lawsuit
April 13, 2016
FINRA Arbitrators Deal With Vague And Ambiguous Employment Agreements
April 1, 2016
Customers Sue Ameriprise Over African Mining Stock In Their IRAs
March 31, 2016
Scottsdale Sues FINRA In Edgy Effort To Halt Disciplinary Case
March 28, 2016
UPDATE: Net Capital Violations Become Federal Criminal Case
March 23, 2016
Wall Street Employee Fined and Suspended For Being In 2 Places At Same Time
March 21, 2016
Beal Street Blues After Employee Wins Unpaid Bonuses
March 17, 2016
Brummer Versus Wey Defamation Case Moves Forward, Sort Of
March 16, 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
Rochdale and Pershing Slugfest In $45 Million Rogue Trader FINRA Arbitration
March 9, 2016
SEC Stops Blue Mountain S-1 Registration
March 7, 2016
SEC Cites Stockbroker Over Confidentiality of Inherited Accounts
March 2, 2016
LPL Loses Dramatic Employee Defamation Case
February 29, 2016
Borrowing From Customer, Tax Liens, Settling Away,Social Media, And More!
February 26, 2016
UPDATE: READ FULL-TEXT Apple Inc Motion To Vacate
February 25, 2016
You Hear The One About The Bleeding Guy in the Hospital Who Shot Himself?
February 25, 2016
Customer Gifts Shares To UBS Broker. FINRA Gifts Fine and Suspension to Rep
February 24, 2016
Stockbroker Fined and Suspended for Impersonating Mother, Wife, and Cousin
February 22, 2016
UPDATE:Brokerage CEO Sentenced to Prison in Net Capital Case
February 19, 2016
SEC Settlement Shows Shameful State of Wall Street Research
February 18, 2016
UPDATE: SEC Inspector General Exonerates ALJ System
February 12, 2016
Texas Investor Guide: Strategies for Investing Wisely and Avoiding Financial Fraud
February 12, 2016
US Bancorp Investments Employment Dispute Ends With Mixed Result
February 11, 2016
FINRA Statement of Corrective Action Defamation Lawsuit Slams Brokerage Firm
February 5, 2016
Morgan Stanley Hit With Punitive Damages In Customers Arbitration
February 4, 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
Federal Appeals Court Says Mandatory FINRA Arbitration Isn't Necessarily So
January 29, 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 Stockbroker Over Executor Role
January 27, 2016
Full Court Press Stuffs Tate "The Shot" George With 9 Year Personal Foul
January 25, 2016
Stockbroker Alters Customer Phone Numbers and Email Addresses
January 14, 2016
Butterfield Genie Back In The Bottle But Puzzling Promissory Note Lawsuit Remains
January 13, 2016
Rude And Divisive Barclays Employee Loses Note Case
January 8, 2016
BrokeAndBroker.com Blog Suspends Market Commentary Per Desolation Row Side Car Rules
January 7, 2016
Did Registered Rep Voluntarily Quit Or Was She Fired? Arbitrator Says Neither.
January 4, 2016
Lord Voldemort, Merrill Lynch, Bank of America, and FINRA
December 30, 2015
FINRA and Smarsh Prevail In Spoliation Case
December 28, 2015
UPDATE: Bank Employee Charged With Illegal Access Of 730,000 Accounts
December 24, 2015
Merrill Lynch Stockbroker Beats Wells Fargo In Employment Dispute
December 23, 2015
Merchant Suckers, Whore, and Little Bitch In FINRA Arbitration
December 16, 2015
The Merrill Lynch Stockbroker, the Deceased Mom, Her Son, And Transfer On Death
December 14, 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
That Customer Complaint May Not Be A FINRA Reportable Event
December 4, 2015
The SEC Fears The Email Privacy Act
December 3, 2015
Yabba Dabba Doo In Unbeknowst FINRA Embezzlement AWC
December 2, 2015
Former Allianz Rep Sues To Clear Her Name In War Over Expenses
November 23, 2015
Mutual Funds and Annuity Disputes Fuel Customers FINRA Arbitration
November 20, 2015
Virtus Gets F-Squared In SEC Settlement
November 19, 2015
CASE IN POINT Video Interview with host BILL SINGER and guest Brittany Weiner, Esq.
November 17, 2015
Net Capital Violations Become Federal Criminal Case
November 12, 2015
Down-Low Download Of Contact Information Sends Stockbroker Offline
October 28, 2015
Brokerage Customer Sues Because X Minus X Equals Zero
October 26, 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
CASE IN POINT with BILL SINGER with guest Corporate Finance Lawyer Lawrence Nusbaum
October 20, 2015
EMPLOYMENT TUESDAY at BrokeAndBroker.com CASE IN POINT Video Online
October 20, 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
SEC Settles Prop Trading Spoofing Case
October 12, 2015
Blackstone Rocked By SEC Over Disparate Legal Fees
October 8, 2015
Bank Employee Charged With Illegal Access of 730,000 Accounts
October 7, 2015
Money For Nothing And The Stocks Are Free (Sort of)
October 5, 2015
UPDATE: Federal Appeals Court Reverses Goldman Sachs Arbitration
October 2, 2015
Split In The Circuits Widens As Jarkesy Challenges SEC
October 1, 2015
Another Wall Street Fall Girl Takes A FINRA Flop
September 25, 2015
Walking Through the FINRA Expungement Process
September 24, 2015
Morgan Stanley Gives Employees Arbitration Choice: Say Nothing And You're Enrolled
September 23, 2015
Ameriprise Inexplicably Loses Promissory Note Case
September 21, 2015
HSBC Stares Into The Eye of the Tiger And Blinks
September 18, 2015
Folded Note Found On Test Center Floor
September 14, 2015
Things Get Waaaay Worse for Wey UPDATE
September 11, 2015
Stockbroker Exonerated After Nephews and Niece Accuse Her of UTMA Fraud
September 11, 2015
FULL TEXT DOJ Individual Accountability Memo ONLINE at BrokeAndBroker.com
September 10, 2015
Undercover FBI Pennystock Sting
September 9, 2015
Stockbroker Wins Expungement Over Annuities
September 4, 2015
Unregistered Activity Proves Katalyst For FINRA Settlement
August 31, 2015
SEC ALJ Sent To Woodshed In Remanded Listing Revocation
August 28, 2015
Stockbroker Fired and Barred For Role With Privately Held Company
August 24, 2015
Stockbroker Wins Customer Expungement Arbitration
August 21, 2015
SEC Takes On Federal Court In Dispute Over Whistleblower Interpretation
August 14, 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
Former Deutsche Bank LatAm Transactions Head Wins Millions In Whistleblower Retaliation Case
August 10, 2015
Morgan Stanley Hit With Punitive Damages In Customer Arbitration
August 5, 2015
Stockbroker Disqualified For Non Disclose Of Grand Jury Investigation
July 31, 2015
Bond Parking For Net Capital Benefit Disqualifies Brokerage Executive
July 30, 2015
Morgan Stanley Sex Discrimination Arbitration Ends In Federal Court
July 29, 2015
30 Year Veteran RR Sues Former Brokerage Firm In Compensation Dispute
July 24, 2015
Major Fine Slams FINRA Firm For Supervisory Violations
July 22, 2015
Court Sends $700,000 Employee Note Dispute To Arbitration
July 17, 2015
Stockbrokers Sue Customer Over Unpaid Margin Debit
July 16, 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
UPDATE: Klaatu Barada New York Stock Exchange. 9 Year Old Saves NYSE SEE VIDEOS
July 8, 2015
Prop Trader Takes FINRA To The Mat And Wins
July 8, 2015
Former Employee Sues Firm For Unpaid Commissions
July 6, 2015
The Goose And Gander Of Forex Fraud Hypocrisy
July 2, 2015
Law Professor FINRA NAC Member Files Defamation Complaint
June 29, 2015
BREAKING NEWS: Supreme Court Issues Historic Obamacare Opinion
June 25, 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
Notes In FINRA Test Center Earn Fine And Suspension
June 22, 2015
UPDATE: SEC Derails Scam Train On Trading Platform
June 15, 2015
Stockbroker Impersonates Customers During Phone Calls
June 11, 2015
Nasty FINRA Lawsuit Gets Nastier
June 10, 2015
Fines and Suspensions For Brokers In Sales Quota Sham
June 8, 2015
A Brief History of FINRA ETF Time
June 4, 2015
Lost Lavatory Laptop Lands Sterne Agee In Crapper
June 1, 2015
Study Guide Fails A Wannabe Stockbroker
May 29, 2015
What Would Hillary Do? FINRA Cites AOL Email Account And Gold / Bank Investments
May 27, 2015
JPMorgan Chase, Citigroup, Barclays, RBS, And UBS Seek SEC Reg D Waivers
May 21, 2015
BREAKING NEWS: Supreme Court Rules on 401(k) Plan Prudent Management
May 18, 2015
FINRA Wrestles With Serious,Aggravating, And Egregious Filing Failures For Forms U4 and BD
May 14, 2015
The Stockbroker,The Compliance Officer,The Dead Customer And The Accommodation Forgery
May 13, 2015
Sympathy For The Bankruptcy Devil In A FINRA Arbitration
May 8, 2015
Wells Fargo Defrauded By Online Dating Check Scam
May 7, 2015
FINRA Moves to Dismiss Spoliation Claims
May 5, 2015
BREAKING NEWS: Supreme Court Vacates And Remands Mach Mining EEOC Case
April 29, 2015
FINRA Named As Defendant In Case Alleging Altered Electronic Files
April 24, 2015
FINRA Arbitrators Expunge Customer Settlement Contribution From Merrill Lynch Broker
April 22, 2015
Stockbroker Denied Expungement In Suitability and ETF Arbitration
April 20, 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 Commissioner Stein On Wall Street's Data Explosion
April 15, 2015
SEC ALJ Corrects Dollars And Dates But Not Derision
April 15, 2015
SEC Derails Scam Train On Trading Platform
April 13, 2015
Battle Royal In FINRA Arbitration Steel Cage Match
April 10, 2015
Federal Court Cites the Securities And Exchange Commission Dithering
April 6, 2015
The 100 Year Old Beneficiary, The Stockbroker Trustee, And The Current Former Customer
April 1, 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
BREAKING NEWS Supreme Court Vacates / Remands Omnicare Registration Statement Case
March 24, 2015
Customer Wins $378,000 in Ultra Short ETF Lawsuit
March 23, 2015
Merrill Lynch Blindsided By Former Employee In Promissory Note Case
March 20, 2015
Former Lek Employee Suspended For Taking The Fifth At FINRA
March 16, 2015
Schwab Seeks $6 Million In Solicitation Dispute
March 12, 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
Former Hartford Securities Rep Demands Over $10 Million In Damages
March 5, 2015
Supervisor Fined, Suspended, and Barred In Ponzi Fiasco
March 4, 2015
SEC Operation Shell Expel Drains Reverse Merger Cesspool
March 2, 2015
Supreme Court Asks If A Fish Is Always A Fish Or Sometimes A Computer Hard Drive
February 26, 2015
FINRA Wins Discrimination Retaliation Lawsuit
February 23, 2015
Broker Wins FINRA Arbitration Expungement
February 20, 2015
A Purloined Letter Challenges Wall Street To Adapt
February 18, 2015
Stockbroker Does Not Get Buy With A Little Help From His Friend
February 13, 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
Unreasonable AML Policies Cited In Trading Platform Fraud
January 29, 2015
Wells Fargo Associate Duped By Email Scam
January 28, 2015
Chinese Pharma Private Securities Transactions
January 23, 2015
The Butcher, Baker, Candlestick Maker and Wall Street CPA
January 22, 2015
What The Hell Is A Preferred Alternative Allocation?
January 20, 2015
Lien-ing Tower Prompts FINRA Fine And Suspension
January 9, 2015
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