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Topic List for Awc (416 results)
After a 26-Year Regulatory Nap, FINRA Discovers Firm's WSPs Are Inadequate
January 8, 2024
Former Merrill Lynch Rep Stuck In FINRA Arbitration Expungement Turnstile
January 3, 2024
Double Standards In State Regulation and Self Regulation of Wall Street's Large Firms
November 20, 2023
Former Rep Sues for Compensation After Involuntary Termination
October 23, 2023
Latest Round of Wall Street Regulatory Idiocy: Zipper/Dakota v. FINRA Arrives at Point of Insanity
August 21, 2023
SEC Dismisses Attempt to Do Something About a FINRA AWC
August 14, 2023
Lord Voldemort on Wall Street: When DOJ, SEC and FINRA Will Not Name Names
July 10, 2023
Failure to Launch Three FINRA Rule 8210 AWC Settlements
July 7, 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 Fines and Suspends Rep For Borrowing from Friend During Covid Pandemic
May 18, 2023
Securities Industry Commentator by Bill Singer Esq
May 5, 2023
FINRA Bars former Securities America Rep For Conversion
April 21, 2023
In 2023 FINRA Settles With Goldman Sachs Over Mismarked Short Sales Dating Back to 2015
April 5, 2023
FINRA Shamefully Fines and Suspends Rep For Mistakenly Using A Rep Code
March 29, 2023
Blackbook Capital Versus FINRA: A Decade of Battle
March 6, 2023
FINRA Arbitrator Denies Indemnification Citing Firm's Failure to Supervise
February 6, 2023
Bill Singer Slams Garbage Regulation on Wall Street
January 25, 2023
Did You Hear The One About The Zombie Who Requested An IRA Distribution?
January 9, 2023
FINRA Can't Wait Forever Even Though Morgan Stanley Wants It To
December 27, 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
FINRA Fines and Suspends Former SagePoint Rep Who Didn't Actually Know Anything
November 18, 2022
Accessing FINRA Test Center Launch Codes With Colonel Mustard
October 26, 2022
Beating a Dead Statutorily Disqualified Horse on Wall Street
October 17, 2022
FINRA Censures and Fines Former Raymond James SVP for Signing Letters of Credit for Customer
October 13, 2022
UPDATED: Stone Cold Day of Reckoning for FINRA and Self Regulation
September 12, 2022
Unsettling Settlement Puts FINRA's Board of Governors in Troubling Light
August 29, 2022
Overtime at Merrill Lynch Prompts Uneven-Handed FINRA Regulation
August 12, 2022
FINRA Fines and Suspends Former Morgan Stanley Rep For Putting Compliance Cart After the Horse
May 18, 2022
FINRA Torches Small Brokerage Firm Over Due Diligence Procedures
May 10, 2022
Former Morgan Stanley Rep Should Count His FINRA Settlement Blessings
April 11, 2022
Arousing the Wrath of the Great and Powerful SEC and FINRA
March 28, 2022
FINRA Bars JP Morgan Securities Rep Over Chase Bank Credit Card Charges
March 21, 2022
FINRA and SEC Continue Dakota / Zipper Ping Pong Game of Dubious Regulation
March 18, 2022
No Good Deed Goes Unpunished As FINRA Sanctions Rep For Lending Money to Friend
March 3, 2022
FINRA Sanctions Another Morgan Stanley Rep for Commissions Earned Under Joint Production Agreement
February 16, 2022
FINRA Sanctions Rep for Commissions Earned Under Joint Production Agreement
February 3, 2022
FINRA Fines and Suspends Barclays Analyst For Undisclosed Employment Offer
January 28, 2022
FINRA Fines and Suspends Rep Over Undisclosed Elderly Widow's Will Bequest
January 24, 2022
FINRA Mulls A Defaulted Bond's Worth
January 12, 2022
The Collision of the Inept With The Incompetent -- A Wall Street Compliance and Regulatory Tale
December 22, 2021
FINRA Takes Victory Lapse in Aegis Capital Regulatory Settlement
November 10, 2021
Equitable Inadvertence Earns Inequitable FINRA Sanctions
October 25, 2021
The Wheels on the Bus Go Round and Round and Drive Over A Wall Street Career
September 16, 2021
FINRA Fines and Suspends Young Merrill Trader For Spoofing Treasuries
September 14, 2021
FINRA Suspends Unregistered Female for Following Registered Male Rep's Orders
September 7, 2021
DBS Throws Director Under the FINRA Regulatory Bus
August 24, 2021
To Err Is Human. To Fine And Suspend Is FINRA
August 12, 2021
FINRA AWC Did Not Require Acceptance of Findings But Why Does Regulator Publish Denials?
August 9, 2021
Another Office Girl Gets Slammed By FINRA
July 29, 2021
FINRA Fines and Suspends Rep For Seeking COVID Loan
July 22, 2021
FINRA Sanctions CCO/AMLCO Over Microcap Red Flags And Private Placement Disclosures
July 21, 2021
FINRA Sanctions Rep and Sanctuary Securities Over NT-ETFs
July 7, 2021
FINRA Fines and Suspends Rep for Undisclosed Bankruptcy in PPM
June 25, 2021
FINRA Censures and Fines Citigroup Global Markets Inc. for Failed Supervisory System
June 17, 2021
All Along the Watchtower FINRA Defends Against the Invading Notaries
June 15, 2021
The TD Ameritrade Stockbroker and The Customer Were Friends Until Options Trading Came Between Them
June 8, 2021
Three FINRA AWCs and One Mess of an Arbitration Raise Unanswered Questions About Supervision
June 1, 2021
Federal Court Says Second Amended Complaint Looks Too Much Like First Amended Complaint
May 11, 2021
The Elderly Customer, The Will, The Stockbroker, The Complaining Brother, And The Post-Mortem Wires and Checks
May 3, 2021
Structuring of Eight Bank Deposits Earns FINRA Suspension
April 30, 2021
FINRA Enters Into Fair Settlement Involving Customer Loans and Outside Business Activities
April 20, 2021
FINRA Gives Credit to Credit Suisse for Not Having A Relevant Disciplinary History
April 8, 2021
JP Morgan Customer Seems To Have Accused Stockbroker of Not Exercising Unauthorized Discretion
April 7, 2021
FINRA Fines and Suspends Former Barclays Rep Over Reimbursed Expenses
April 6, 2021
The Great FINRA Hand Sanitizer Caper!!!
March 30, 2021
When An Undisclosed Settlement Gets Disclosed to FINRA
March 29, 2021
Remember The Story About The Bernie Sanders Coffee Cup Filled With Feces At Cantor Fitzgerald?
March 25, 2021
FINRA Charges Operations Professional $5,000 for Sushi
March 17, 2021
The Grandfather FINRA OBA Paradox
March 15, 2021
High Standards In Low Places on Wall Street
March 5, 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
Finders Keepers Losers Weepers Ends With FINRA Bar
February 25, 2021
Not Getting Away With What You Are Trying To Get Away With On Wall Street
February 22, 2021
An Elderly Grandma and Sister Who Wasn't and the New VA Beneficiaries
February 18, 2021
FINRA Fines and Suspends CCO / AMLCO For Structuring
February 15, 2021
Former West Point Cadet Blows Up Wall Street Career
February 10, 2021
FINRA Needs Some Fresh Air For A 20 Month Suspension
February 3, 2021
FINRA Fines and Suspends Rep for Taking or Not Giving A Crap
January 19, 2021
A Business Meal That Wasn't. A Job That's No Longer. A FINRA Regulatory Settlement That Hurts
January 7, 2021
Last Dance for FINRA's Zipper? Nope, SEC Says Let's Do It Again
December 28, 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
Who Knows Where The Time Goes With Former JP Morgan Rep's FINRA AWC
November 18, 2020
FINRA Gives Rep the Business Over Personal Expenses
November 17, 2020
Federal Court Dismisses Challenge to Six Year Old FINRA AWC
November 11, 2020
The Investment Banker, His Friend, the Friend's Holding Company, and the Two Deals
November 4, 2020
FINRA Turns 300 Orally Authorized Trades Into 300 Trades Of Unauthorized Discretion
October 30, 2020
FINRA Fines Small Firm And its Owner For Misclassification of Expenses
October 21, 2020
Ballad of a FINRA Man
October 15, 2020
FINRA Imposes Fine and Suspension Over Deceased Second Cousin Once Removed
September 11, 2020
FINRA Fines and Suspends Rep for Transferring Customer List to New Employer
September 10, 2020
For FINRA, Relevant Is A Large Gray Pachyderm
September 9, 2020
The Boogie Woogie Crypto Man of Company C
August 28, 2020
UPDATE: FINRA Says Brokerage Fee An Undisclosed Commission
August 12, 2020
FINRA Sanctions Concorde Investments Services and CCO Levy Over Supervisory Lapses
July 29, 2020
FINRA Borrowing Rule Seems to Say What It Means But It Doesn't Actually Mean What It Says
July 22, 2020
The Walls Came Down Between Research and Investment Banking
July 8, 2020
FINRA Settles Untimely Disclosure of Four Felony Charges Without Willfulness Finding
July 1, 2020
UPPER CASE MESSAGES!!! EXCLAMATION POINTS!!! AND A FINRA FINE AND SUSPENSION!!!
June 26, 2020
Rep's Wife and Adult Children Named as Elderly Customer's Insurance Beneficiaries
June 16, 2020
FINRA Says Impeccable Merrill Lynch Has No Relevant Disciplinary History
May 19, 2020
FINRA Censures, Fines and Orders Restitution in Suitability Settlement
May 6, 2020
FINRA AWC Has Potential Precariously Perched Atop Conjecture and Speculation
April 24, 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
Bill Singer's Annual Warning: Disclose Your Tax Liens
March 4, 2020
FINRA Fines And Suspends Rep Over Unauthorized Signatures on Self Directed IRA Transfers
February 25, 2020
FINRA AWC Cites Dubious Options Strategy In IRA Account
January 31, 2020
The Widow, Her Stockbroker, and Her Loans and Gifts to Him
January 29, 2020
FINRA Settles Case Involving What Looks Like A Felony But Isn't
January 17, 2020
In Today's Securities Industry Commentator
January 15, 2020
FINRA Needs To Better Coordinate Its Admonition of Statutory Disqualification
January 3, 2020
FINRA Sanctions Stockbrokering Paper Pushing Lawyer
December 27, 2019
Muni Rigor Mortis
October 21, 2019
The Illogical Logic of FINRA's Willful Non-Disclosure of Tax Liens
October 11, 2019
Getting the Girl to Do It On Wall Street
October 4, 2019
FINRA Bars Rep Who Knew Someone
September 27, 2019
Client Associate Takes 4 Years of Rep's CE
September 24, 2019
FINRA's JPM Omelet Ends With Egg On the Regulator's Face
September 17, 2019
Perplexing FINRA AWC About the Likely Statutorily Disqualified Rep
September 13, 2019
Oops I Did It Again Is No Defense In Second FINRA AWC
September 9, 2019
FINRA Bars NYLIFE Rep Over Debit Card Expenses
September 6, 2019
FINRA AWC Cites Prospective Customer, Possible Investor, and Proposal
September 4, 2019
Day Tripper Barred by FINRA For Bogus Travel Reimbursements
August 22, 2019
FINRA Puts Lime Brokerage in the Self-Regulatory Coconut
August 21, 2019
GUEST BLOG: FINRA Hearing Process . . .BIAS . . . Real or Perceived???
August 1, 2019
Trading After Death
July 24, 2019
Another Small Fish Fry on Wall Street Reeks of FINRA Insincerity
July 22, 2019
FINRA Fines and Suspends Rep for Unauthorized Transfer of 270 Customers' Info
July 16, 2019
Former LPL Stockbroker Suspended and Fined For Customer Borrowing
July 9, 2019
Some BS from FINRA in Small Firm AWC
July 8, 2019
Another Day. Another FINRA Regulatory Settlement. Another Case Involving Who Owns the Customer
May 31, 2019
866 Trades in 15 Leveraged ETFs for 47 Customers Ends With 1 Bar
May 14, 2019
5 OBAs, 2 PSTs, $15,000 Fine and 10 Month Suspension in 1 FINRA AWC
May 10, 2019
FINRA Censures and Fines Firm Over Supervision of Watch and Restricted Lists
May 6, 2019
Many Rivers to Cross But Stockbroker Just Can't Find His Way Over FINRA
April 26, 2019
All Voya FINRA AWCs are Not Relevant Except When They Are
April 24, 2019
Sonny Corleone At the Toll Booth: A Study of a FINRA Email Review Settlement
April 16, 2019
Death Craps Out With Viatical Settlement Dice
April 9, 2019
FINRA Fines and Suspends Rep for Emailing Confidential Info Of 1,696 Plan Participants
April 3, 2019
FINRA Suspends CEO and CCO Over Failed Supervision of Exotic ETFs
March 20, 2019
Stockbroker Only One Call Away From FINRA Fine and Suspension
March 1, 2019
FINRA Regulatory Settlement About Vulnerable Individual Raises Troubling Questions
February 26, 2019
Outside Business Activities and Away Account Cost Stockbroker $7,500 and Four Months on the Bench
February 20, 2019
Lord Voldemort, Bank of America, Merrill Lynch, FINRA, And Childcare Expenses
February 13, 2019
Merrill Lynch Stockbroker Crashes And Burns Over Class B Shares Limits
February 11, 2019
The Errors on the Whited-Out Variable Annuity Form and FINRA's Fine and Suspension of a Supervisor
February 6, 2019
FINRA Gets Email Snafu Right But Its Regulatory Role Wrong
January 15, 2019
Hot Nepal Real Estate Market Burns Stockbroker With FINRA Fine and Suspension
January 11, 2019
Wells Fargo Customer Left Town But Was In the Parking Lot But Wasn't, Sent Letter But Didn't, and Made Phone Call But Hadn't
December 21, 2018
The Failure of Wall Street Compliance and Regulation: A Case In Point
December 12, 2018
FINRA Rule 8210 Demands End With Stockbroker Bar
December 10, 2018
Two Deceased Customers,Their Stockbroker, A POA, A TOD Account, And a Bar
December 3, 2018
Stockbroker Plays Hide And Seek With FINRA
November 30, 2018
Son Calls FINRA Senior Helpline About Trading In Mom's Account
November 27, 2018
Stockbroker Victimized By Mother In Law Complaint About Stolen Funds
November 16, 2018
Stockbroker Told to Provide Personal Email Account Password to Employer
November 12, 2018
Psst . . . Here's a $10,000 Settlement Check But Don't Cash It
October 19, 2018
The Stockbroker, His Wife, 3 Customers, 3 Healthcare Proxies, 1 Trust, and 1 IRA
October 5, 2018
Last Dance? SEC Hopes It Has Finally Zipped Zipper Appeals
October 3, 2018
Double Standard? FINRA Fines and Suspends Wells Fargo Employee For 382 Unauthorized Trades
September 28, 2018
Stockbroker Pays Undisclosed Customer Settlement But It All Explodes Anyway
September 26, 2018
Two Friends, Their Option Deal, A Stockbroker, His Restaurant, UBS, and FINRA
August 29, 2018
Where There's A Will, FINRA Says No Way!
August 9, 2018
The Greek Yogurt Justice of Strained FINRA Mercy
August 8, 2018
The 93 Year Old Customer with Dementia, The Guardian, The Stockbroker, and the Compliance Officer
July 30, 2018
Morgan Stanley Broker Fined and Suspended For NSF Wires Into His Personal Account
July 19, 2018
Cut, Pasted, Traced, Signed, Sealed, Delivered . . . and Suspended by FINRA
July 12, 2018
Travelin' Man Comes To End of Wall Street Line
July 11, 2018
The Elderly Wife, The Husband, and The Transfer on Death Account
June 27, 2018
Zipper Plays Sisyphus to FINRA's Zeus
June 21, 2018
Is FINRA Sleepwalking Through Member Firm Examinations?
June 20, 2018
Power Play Short Circuits Broker's Career
June 18, 2018
FINRA Suspends Stockbroker For Reimbursing Customer Options Losses
June 11, 2018
GrandFund in a FINRA Grand Funk
June 5, 2018
FINRA Fines And Suspends Merrill Lynch Rep for Check Kiting
May 29, 2018
Post Mortem Auto-Pilot Trading Sends Stockbroker's Career Into Head-On Regulatory Crash
May 21, 2018
FINRA Stretches Definition of Participating in a Private Securities Transaction
May 18, 2018
The Gambling Stockbroker, His Elderly Customers, and Their Loans to Him
May 10, 2018
Money For Nothing Leaves Stockbroker in Dire Straits With FINRA
May 9, 2018
Solicited System Snafu Stiffs Settling Stifel Stockbroker
May 2, 2018
FINRA Death Cab for an Un-Fare Email Cutie
April 23, 2018
FINRA Bogarts the Weed In Medical Marijuana Settlement
April 20, 2018
Rashomon Plays Out In Merrill Lynch Discretionary Case
April 16, 2018
Drinking, Driving, Felonies, and a Wall Street Regulatory Head-On Collision
April 12, 2018
LPL, RR, BD, IRS, U5, FINRA, and AWC
April 10, 2018
Crash and Burn Upon Entry Into Wall Street
April 6, 2018
2 Wrongs Don't Add Up To 1 Right In FINRA Regulatory Settlement
March 22, 2018
Disturbing FINRA Settlement Involving Elderly Client With Dementia
March 13, 2018
CCO Fined and Suspended For Amending Her Own U5
March 8, 2018
30 Months Of Violations Under FINRA's Nose
February 16, 2018
Sterne Agee Broker's IPO Trading In Away Account Earns FINRA Sanctions
February 9, 2018
SEC Zaps Zipper's Second Stay Request
February 7, 2018
FINRA Stuffs Stifel's Trading Ahead Exemptions
February 2, 2018
FINRA Fines Firm Over Research Reports Practices
January 26, 2018
Abuse And Harassment On Wall Street
January 25, 2018
FINRA Sanctions Charitable Remainder Trust Pitch
January 22, 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
Rep Emails Self 1,300 Account Numbers And FINRA Comes A Knockin'
January 9, 2018
FINRA Wrestles With No Debt False Statement Versus Untrue One
December 28, 2017
Has FINRA Just Threatened To Shut Down Wall Street's Fantasy Leagues and Office Sports Pools?
December 22, 2017
A Little Bit of FINRA Hypocrisy For $20,000
December 19, 2017
The FINRA Gestalt
December 14, 2017
The FINRA Auction Market for Regulatory Fines and Suspensions
December 7, 2017
Stockbrokers Succession Plan Grapples With Mine, Ours, and Yours
December 5, 2017
Not Fade Away Tops FINRA Regulatory Chart
December 1, 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
CEO CCO FINOP Fined And Suspended Over Classification of Personal Expenses
November 20, 2017
Voluntary Resignation, Diversion of Customer Funds, and FINRA Bar
November 16, 2017
Humpty Dumpty, FINRA, Sharing, Guarantee, and Losses
November 15, 2017
Merrill Lynch Employee Fined and Suspended for Business Meals by FINRA
November 14, 2017
97 Year Old Client Names Stockbroker Executor and Beneficiary
November 10, 2017
FINRA Tackles Insurance Claim Allowable Assets. But Is It Relevant?
November 3, 2017
FINRA Settlement Is A Matter of Time And Price
October 31, 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
Charity Begins At Work For Suspended Registered Rep
October 24, 2017
Fixer Upper Biz Puts Stockbroker In Need of Career Renovation
October 9, 2017
$25,000 Investment in Collectible Medals Earns FINRA Bar
October 6, 2017
SEC Says No Mulligans For FINRA Settlements
October 3, 2017
FINRA Doesn't Like Dinar Time
September 29, 2017
Child Endangerment Defendant Barred By FINRA
September 28, 2017
FINRA Bars Rep For Arbitration Perjury
September 27, 2017
Starship Enterprise, Lone Ranger, Tonto, Silver, Pumpkin Spice Latte, And FINRA Settlement
September 18, 2017
The Elderly and Blind Customer, The Stockbroker, The Joint Account, and 2 Apartments
September 14, 2017
Stockbroker Refunds Commissions To Unhappy Morgan Stanley Customer
September 11, 2017
How Long Has This FINRA Violation Been Going On?
September 8, 2017
Turning Right Is Wrong At FINRA Red Light
August 30, 2017
Sewage Release By Wall Street Regulators
August 24, 2017
Negligent Market Manipulation In OTC Stock Promotion
August 18, 2017
A Stockbroker, Her LLC, And Her Customers' Loans (Or Investment?)
August 17, 2017
FINRA Felony Jigsaw Puzzle
August 10, 2017
This Wall Street Train of Regulation Don't Pull No FINRA Winkers
August 8, 2017
FINRA Gets One Last Slap in Marine Veteran's Face
July 31, 2017
Bond Trader Barred by FINRA Wins Arbitration For Unpaid Wages
July 26, 2017
Grassroots Movement to Revise FINRA Fine and Suspension of Richard Botkin
July 25, 2017
$1 A Day Meal Expenses Brown Bags FINOP
July 19, 2017
I Scream, You Scream, FINRA Screams for Ice Cream
July 18, 2017
Stephen Kohn and Hugh Hewitt Champion Richard Botkin's FINRA Appeal
July 14, 2017
HSBC Securities Settlement Raises Questions About FINRA Examinations
July 5, 2017
FINRA Buries the Lede With FAS Rep Settlement
June 26, 2017
VXX Vice Versa Vexes Veteran Stockbroker
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
Sales Assistant and Broker Impersonate Client and Son
June 12, 2017
FINRA's Foolish Inconsistency
June 9, 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
The Elderly Edward Jones Client, His Account, His Will, His Stockbroker, and The Broker's Wife
May 15, 2017
Did FINRA Respondent Beg, Steal, or Borrow?
May 12, 2017
FINRA Hoisted With Its Own BrokerCheck Petard
May 9, 2017
GUEST BLOG: Are Decepticons Duplicitous? by Stephen Kohn
April 28, 2017
Misconduct Bricks In FINRA Wall of Statutory Disqualification
April 26, 2017
FINRA's Three Handed Monster of a Settlement
April 25, 2017
Broker Dealer Owner Smoked by FINRA in Cannabis Deal
April 20, 2017
FINRA Fines and Suspends Rep For Customer Borrowing
April 13, 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
The FINRA Thrum Of Stamping Settlements
April 6, 2017
Where There's Willfulness There's No Way At FINRA
March 28, 2017
JP Morgan And FINRA Connect The Dots When It Matters
March 17, 2017
Inconsistent FINRA Findings of Willful Nondisclosure Persist
March 13, 2017
FINRA Cites Pennystock Sales By Feltl Rep While Customers Buying
March 10, 2017
Life Insurance, Wife Insurance, and FINRA Life Settlement Regulation
March 9, 2017
Bill Singer Pans FINRA AWC Peeps Protocol
March 7, 2017
Stockbrokers, Spouses, Marriage, and Away Accounts
January 26, 2017
Stockbroker Back Dated Audited Partnership Agreements For Tax Preparer Clients
January 23, 2017
Stockbroker Impersonations Prompt FINRA To Ask Who Are You
January 17, 2017
FINRA Says Call It A Loan On A Debt That You Owe
January 13, 2017
Tax Liens and Wall Street Disqualification
January 12, 2017
A FINRA Settlement Asks How Long Is Too Long? When Is Enough Enough?
January 3, 2017
Confusing Customer Conversion Case Confounds FINRA
December 19, 2016
Donald Trump, Boeing, And FINRA Fixed Income Fair Charges
December 12, 2016
Stockbroker Repays Client Loan But Ends Up In Trouble
December 9, 2016
The Some and Almost All Of A FINRA Unauthorized Discretion Settlement
December 6, 2016
Stockbroker Goes Aground on FINRA Day Trading Endeavor Bar
December 2, 2016
What The Hell Does It Take For FINRA To Bar A Stockbroker?
November 29, 2016
Bill Singer Dissects FINRA's Acceptance Waiver and Consent Settlement (AWC)
November 28, 2016
Whatcha See is Whatcha Get In FINRA Settlement
November 16, 2016
FINRA Settles Non Disclosure Of Tax Liens Without Finding Willfulness
November 11, 2016
Godzilla, Frankenstein, tradeMONSTER and Not So Obvious Error
November 10, 2016
Wells Fargo Shocked By Employee Theft
November 4, 2016
FINRA Sanctions Lack of Proactive Compliance
November 3, 2016
Imposter Plays Flag Football With Broker Dealer Wire Transfer
October 25, 2016
FINRA Bars Two Brokerage Employees For Bogus Business Expenses
October 12, 2016
Caveat Emptor Proves True In Purchase Of Troubled Broker Dealer
October 11, 2016
Wall Street Regulation Understood Backwards
October 7, 2016
Citigroup Senior Trader Cooks The Books Over Bonus
October 6, 2016
Veteran Wall Street Lawyer Bill Singer Cracks FINRA Code of Secrecy
October 3, 2016
WTF? FINRA AWC OBA LPL RS CK
September 30, 2016
Customer Twice Victimized By Broker's Impersonation and Online Disclosure
September 29, 2016
Stockbroker Slips Off Plymouth Rock Movie Studio Deal
September 22, 2016
Wells Fargo's Stumpf Stumbles And FINRA Fumbles
September 21, 2016
Town Treasurer, Brokerage Financial Principal, Forged Checks, and Heroin for Sex
September 15, 2016
FINRA Tells Stockbroker He's Through After Firm Pays His Bills
September 12, 2016
Career Skid Marks Left By Altered Auto Insurance Declaration Page
September 6, 2016
FINRA Settlement Enters the RIA and BD Jungle
August 23, 2016
Did You Hear The One About The Solicited Order that Got Marked Unsolicited?
August 19, 2016
Stockbroker Fined and Suspended For Unpaid Oral Customer Loan
August 17, 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
Double Trouble On Wall Street
August 4, 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
Secret Customer Settlement Gets Stockbroker Fined and Suspended
July 13, 2016
Lonely Game of Masquerade As FINRA Hides Two Entire Countries
June 29, 2016
Take What You Have Gathered From Coincidence In Oral Advisory Fee Agreement
June 22, 2016
FINRA Mixed Message About Inflating Sales And Trades
June 20, 2016
CCO Fined and Suspended For Missing Private Securities Transaction
June 14, 2016
Dirty Deeds Done Dirt Cheap On Wall Street
June 2, 2016
UBS Reversed $5 Million Unauthorized Order
June 1, 2016
Love And Marriage On Wall Street
May 25, 2016
FINRA Publishes Mitigation Statement in Elderly Client Conversion Case
May 23, 2016
UBS and Wells Fargo Wage Thumb Drive Warfare
May 20, 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
Female Completed Continuing Ed for Male Supervisor
May 9, 2016
How Can I Be Sure In A FINRA World That's Constantly Changing?
May 2, 2016
FINRA Sanctions Firm and CCO in Texting Settlement
April 28, 2016
Approved Outside Business Activity Morphs Into A Troubling Private Securities Transaction
April 27, 2016
Dissecting FINRA's Acceptance, Waiver, and Consent Settlement (AWC)
April 18, 2016
Suspended HSBC Rep Pasted Clients Names Over His Utility Bill
April 15, 2016
The Bank Branch Manager, The Purported Customer, and the IRS Bounced Check
April 11, 2016
My Baby Sent Me A Letter But My Client Didn't
April 8, 2016
Wall Street Banker's Travel Expenses Send Career Into Ditch
April 6, 2016
A Stockbroker, His Former Customer, A Restaurant, And The New Face of Wall Street Regulation
March 30, 2016
Wall Street Employee Fined and Suspended For Being In 2 Places At Same Time
March 21, 2016
FINRA Cites Firm and Director For Email Supervision
March 18, 2016
Oh!!! Unauthorized Trading, Patti O'Furniture, And FINRA's BrokerCheck
March 3, 2016
LPL Loses Dramatic Employee Defamation Case
February 29, 2016
Borrowing From Customer, Tax Liens, Settling Away,Social Media, And More!
February 26, 2016
Customer Gifts Shares To UBS Broker. FINRA Gifts Fine and Suspension to Rep
February 24, 2016
Oral Discretion Isn't Worth The Paper It's Not Written On
February 19, 2016
FINRA Statement of Corrective Action Defamation Lawsuit Slams Brokerage Firm
February 5, 2016
Brokerage Firm Censured and Fined for Undetected Statutorily Disqualified Rep
February 3, 2016
FINRA Impounds Stockbroker Over Used Car Biz Loans From Customer
February 1, 2016
FINRA Email AWC Raises Question About Regulatory Hypocrisy
January 29, 2016
FINRA Fines and Suspends Stockbroker Over Executor Role
January 27, 2016
FINRA Fines And Suspends Rep For Service as Director
January 22, 2016
Stockbroker Alters Customer Phone Numbers and Email Addresses
January 14, 2016
Mexico Security Concerns Posed Postal Risk For Brokerage Customer
January 11, 2016
Macquarie Pays $2.95 Million Blue Sheets Fine
January 6, 2016
Lord Voldemort, Merrill Lynch, Bank of America, and FINRA
December 30, 2015
Yabba Dabba Doo In Unbeknowst FINRA Embezzlement AWC
December 2, 2015
One Singular Registered Sensation In FINRA Chorus Line Settlement
November 30, 2015
Stockbroker Fined And Suspended In Email Transfer of Customer Info From Merrill To Ed Jones
November 18, 2015
Echoes of A Stockbroker's Mind For A Hacker On A Wire
November 9, 2015
VXX Vapid Hedge Rubs FINRA The Wrong Way
November 5, 2015
Blank Checks From Elderly Couple Checkmate Stockbroker's Career
October 30, 2015
FINRA Complains About CCO Complaint Reporting
October 29, 2015
Down-Low Download Of Contact Information Sends Stockbroker Offline
October 28, 2015
A Little Biz On The Side Gets Rep Fined And Suspended
October 14, 2015
Morgan Stanley Client Service Associate Trips Over Wire Request
October 8, 2015
Another Wall Street Fall Girl Takes A FINRA Flop
September 25, 2015
Stockbroker Fired and Barred For Role With Privately Held Company
August 24, 2015
FINRA's Acceptance, Waiver, And Consent Settlement (AWC) by Bill Singer
August 19, 2015
FINRA Jams Ditto Copying of Trades
August 17, 2015
FINRA Bars Top Producer For Charging Commissions Instead Of Fees
August 3, 2015
Bond Parking For Net Capital Benefit Disqualifies Brokerage Executive
July 30, 2015
Stockbroker Discharged, Suspended, and Fined Over $100,000 Customer Loan
July 27, 2015
Software Glitch Overwhelms Firm's Email Review
July 23, 2015
Major Fine Slams FINRA Firm For Supervisory Violations
July 22, 2015
1 Registered Rep, 5 Days, and 9 NSF Checks
July 10, 2015
Stockbroker Husband Signs Insurance Loan for Wife But She Denies Authorization
July 9, 2015
Honor System Fails In FINRA Email Settlement
June 25, 2015
Wall Street Sales Assistant Scams 3 Years of Reimbursed Expenses
June 19, 2015
Stockbroker Impersonates Customers During Phone Calls
June 11, 2015
Fines and Suspensions For Brokers In Sales Quota Sham
June 8, 2015
Computer Glitch Overpays Stockbroker's Commissions
June 3, 2015
Study Guide Fails A Wannabe Stockbroker
May 29, 2015
FINRA Says Charity Does Not Begin At Home
May 28, 2015
The Stockbroker,The Compliance Officer,The Dead Customer And The Accommodation Forgery
May 13, 2015
Wells Fargo Defrauded By Online Dating Check Scam
May 7, 2015
What A Difference A Day Makes For Leveraged ETFs
May 4, 2015
Unapproved USB Use Upsets UBS
April 27, 2015
Regulatory Checkmate For Stockbroker
April 8, 2015
The 100 Year Old Beneficiary, The Stockbroker Trustee, And The Current Former Customer
April 1, 2015
Stockbroker Fined And Suspended For Undisclosed Insurance Biz
March 30, 2015
FINRA Suspends Broker Over Repaid Customer Loan
March 27, 2015
optionsXpress Out Of Email Options
March 26, 2015
FINRA Fines Firm For Miscommunication Between Compliance And Payroll
March 13, 2015
Online Coupon Business Cuts Registered Person
March 6, 2015
Supervisor Fined, Suspended, and Barred In Ponzi Fiasco
March 4, 2015
Office Condo LLC and Residential Property LLC Add Up To Outside Business Violations
March 2, 2015
After Credit Card Expense Suspension, Stockbroker Barred By Liens And Judgments
February 27, 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
Stockbroker Selfies Are Regulatory Negatives
February 12, 2015
A Tale Of Two Wall Streets And FINRA's Disparate Sanctions
February 11, 2015
An IRA, A Husband's Death, A Beneficiary Wife, And Two Regulators
February 9, 2015
Is FINRA Actin' Kinda Shady In Naming (Or Not) Banks?
February 5, 2015
Online App Biz Clicks Registered Rep Into OBA Trouble
February 4, 2015
Elderly Sugar Daddy, His Young Thing, And His Banker / Broker
January 30, 2015
Unreasonable AML Policies Cited In Trading Platform Fraud
January 29, 2015
Wells Fargo Associate Duped By Email Scam
January 28, 2015
Chinese Pharma Private Securities Transactions
January 23, 2015
The Butcher, Baker, Candlestick Maker and Wall Street CPA
January 22, 2015
Stockbroker Clocked For Untimely Reporting of Bankruptcy
January 16, 2015
Jenny Don't Change, Rikki Don't Lose Your Clients' Numbers
January 15, 2015
Stockbroker Fined And Suspended For Loan To Customers
January 12, 2015
Lien-ing Tower Prompts FINRA Fine And Suspension
January 9, 2015
FINRA Email Settlement Raises More Questions Than Answers
January 8, 2015
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