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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
SEC Orders FINRA to Raise Its Arbitration Forum Gate For Expungements
May 30, 2023
FINRA Pulls Its Punches In Felony Non-Disclosure Settlement
May 22, 2023
SEC Tells FINRA to Raise the Gate For Ineligible Expungement Case
March 23, 2023
FINRA Arbitrator Denies Indemnification Citing Firm's Failure to Supervise
February 6, 2023
Federal Appellate Court Affirms Dismissal of Wells Fargo and FINRA
January 30, 2023
Removal of FINRA Arbitrator Cited by Schwab and Interactive Brokers in HFT Customer Dispute
January 3, 2023
Brokerage Firm Sues Former Stockbroker for Indemnity After Paying Customer Settlement
November 17, 2022
Beating a Dead Statutorily Disqualified Horse on Wall Street
October 17, 2022
SEC Hides Disqualification Waiver Order In High Profile Recordkeeping Release
September 28, 2022
Former Sales Manager Barred By FINRA After Assistant Takes His CE Training
June 9, 2022
Former Morgan Stanley Rep Should Count His FINRA Settlement Blessings
April 11, 2022
SEC Slaps Generic, Non-Specific Whitewash Over Database Scandal
April 6, 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
Three-Handed Dilemma Grabs NYAG, NYPPEX, Laurence Allen, and FINRA
March 1, 2022
SEC Director Calls Awkward Football Audible During Wall Street Gamification Bowl
February 14, 2022
FINRA the Sheriff of Nothing-ham and Robinhood
January 31, 2022
How Many FINRA Enforcement Lawyers Does It Take To Prosecute a Default Case?
January 10, 2022
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
The Prolonged Saga of In re Goldman Sachs Group, Inc.
December 9, 2021
FINRA NAC Affirms OHO But Eliminates Heightened Supervision
October 4, 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
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
The Vanguard Customer Didn't Ask, Didn't Listen, But The Firm's Voicemail Sucks
May 20, 2021
GUEST BLOG [In]Securities: Mind Games by Aegis Frumento Esq
May 7, 2021
FINRA Fear and Wall Street Trembling and The Financial Sickness Unto Death
April 29, 2021
FINRA Enters Into Fair Settlement Involving Customer Loans and Outside Business Activities
April 20, 2021
The FINRA Investor Education Foundation Is A Lonely Hunter
March 24, 2021
Vanguard Compliance Manager Submits Altered and Fabricated Documents to FINRA
March 3, 2021
3Cir Says Never Is Better Than Late In FINRA Arbitration Appeal
February 4, 2021
Untimely Disclosure of Tax Liens Upends Chief Compliance Officer Via Statutory Disqualification
January 6, 2021
Last Dance for FINRA's Zipper? Nope, SEC Says Let's Do It Again
December 28, 2020
A History of SOES, Daytrading, NASD, NASDAQ, DOJ, SEC, Congress, and Robinhood -- and a Massachusetts Complaint and Another FINRA Fine
December 17, 2020
Outrageous Romance Scam Earns Even More Outrageous Sentence
December 8, 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
[In]Securities Guest Blog: Take it Easy by Aegis Frumento Esq
August 13, 2020
UPDATE: No Rationale And No Explanation In FINRA Arbitration Decision
July 20, 2020
FINRA Settles Untimely Disclosure of Four Felony Charges Without Willfulness Finding
July 1, 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
[In]Securities Guest Blog: School's Out for Summer by Aegis Frumento Esq
June 11, 2020
FINRA Arbitrator Sings Signed, Sealed, Delivered and Return to Sender In Default Award
June 9, 2020
Federal Court Cites Quintessential Shotgun Pleading and Myriad of Motions in FINRA Arbitration Appeal
May 22, 2020
Commissioner Peirce Sounds the Alarm About Feeding the SEC's CAT
May 18, 2020
Federal Court De-Fangs Merrill Lynch In Class Action Dismissal
April 27, 2020
Bill Singer's Annual Warning: Disclose Your Tax Liens
March 4, 2020
Cannabis Science Case Smokes Definition of Brokerage Customer
February 19, 2020
Court Rejects Late Breaking Wisdom As Too Late in FINRA Arbitration Appeal
February 7, 2020
FINRA Settles Case Involving What Looks Like A Felony But Isn't
January 17, 2020
Federal Court Troubled By FINRA Arbitration Chair's Non-Disclosure of Conflict
January 7, 2020
FINRA Needs To Better Coordinate Its Admonition of Statutory Disqualification
January 3, 2020
[In]Securities Guest Blog: Not Dead Again Today? by Aegis Frumento Esq
December 19, 2019
The Temptations of Collecting Data at the SEC
December 16, 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
[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 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
Astounding 20 Criminal, Regulatory, and Compliance Cases Featured in Securities Industry Commentator
October 1, 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
Perplexing FINRA AWC About the Likely Statutorily Disqualified Rep
September 13, 2019
Barclays' Bank Shot Caroms Into Federal Court Reprimand
August 8, 2019
The Hysterical and Yelling Customer, The Market Crash, and A FINRA Expungement
May 29, 2019
FINRA Notice To Members 19-10 Should Have Said What It Meant
April 8, 2019
FINRA Settlement Not Fussing And Fighting But Working It Out
March 25, 2019
FINRA Arbitrators Award Ameriprise Promissory Note Damages But With Odd Statement About What Was Not Considered
March 5, 2019
GUEST BLOG: The SEC's Gagging Rights by Aegis Frumento Esq
January 17, 2019
Federal Court Says Former Raymond James Employee Was On Notice of FINRA Arbitration
January 14, 2019
Scottsdale Sues Rep For Contacting FINRA But FINRA Bars Him For Not Testifying Against Firm
December 26, 2018
Competitively Different Cambridge Loses Culturally Unique FINRA Block Trade Arbitration
November 19, 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
Morgan Stanley Customer Sues Over Forced Stop Loss
October 10, 2018
Last Dance? SEC Hopes It Has Finally Zipped Zipper Appeals
October 3, 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
Stockbroker An Unintended Bystander Victim In Drive-By Customer Complaint
September 10, 2018
Date of Birth on Driver License Crashes Stockbroker Career
August 28, 2018
UPDATE:Non-Attorney Representatives Involved In FINRA Arbitration Blight
July 23, 2018
Zipper Plays Sisyphus to FINRA's Zeus
June 21, 2018
Is FINRA Sleepwalking Through Member Firm Examinations?
June 20, 2018
Wall Street Career Cashed Out Over Identity Theft and Gift Cards
June 7, 2018
GrandFund in a FINRA Grand Funk
June 5, 2018
The Disqualified Stalking Felon Stockbroker, The Texting Stockbroker, The Missouri Waltz, and FINRA
May 17, 2018
Drinking, Driving, Felonies, and a Wall Street Regulatory Head-On Collision
April 12, 2018
Crash and Burn Upon Entry Into Wall Street
April 6, 2018
Bubitotious Infectosis, FINRA Exams, and Loaded Dice
March 2, 2018
Non-Attorney Representatives Involved In FINRA Arbitration Blight
March 1, 2018
Broker Dealer Wins Indemnification Arbitration Against Stockbroker
February 27, 2018
Wells Fargo Sustains Stunning Promissory Note Loss
February 26, 2018
SEC Zaps Zipper's Second Stay Request
February 7, 2018
Epic Rant About A Tepid FINRA Regulatory Settlement
January 31, 2018
FINRA Dispute Hangs Out As SEC Unzips Zipper Appeal
January 16, 2018
FINRA Wrestles With No Debt False Statement Versus Untrue One
December 28, 2017
The Damnatio Memoriae of Former SEC Counsel Rory Flynn
December 11, 2017
UPDATE: SEC Says No Mulligans For FINRA Settlements
November 29, 2017
SEC Nixes Stay of Statutory Disqualification
November 8, 2017
FINRA Schrodinger Cat Is Dead, Alive, and a Zombie
November 7, 2017
Absurd Unexplained Public Customer FINRA Arbitration Decision
October 20, 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
UBS Employee Padussis Wins Best Left Unsaid Arbitration
September 25, 2017
RIA Cherry Picking Case Rings Alarm (Anyone Listening?)
September 15, 2017
The Merry-Go-Round of FINRA Reform. This Time It Won't Be Any Different Again
September 6, 2017
Weight Management Company Weighs Heavily on Stockbroker's Career
August 29, 2017
FINRA Felony Jigsaw Puzzle
August 10, 2017
Elder Abuse Allegations Arise In Wedbush Arbitration
July 20, 2017
UPDATE: SEC Denies Wanger Re-Entry Into Industry
July 12, 2017
FINRA Disciplinary Settlement Raises Relevancy of Any
July 10, 2017
Stockbroker and Wife Fake Statements For Home Loan
June 16, 2017
FINRA's Willy Nilly Tax Lien Settlements
May 25, 2017
Misconduct Bricks In FINRA Wall of Statutory Disqualification
April 26, 2017
Where There's Willfulness There's No Way At FINRA
March 28, 2017
Inconsistent FINRA Findings of Willful Nondisclosure Persist
March 13, 2017
Tax Liens and Wall Street Disqualification
January 12, 2017
SEC Shuts Down RIA Cherry Picking
December 21, 2016
Bill Singer Dissects FINRA's Acceptance Waiver and Consent Settlement (AWC)
November 28, 2016
FINRA Faked Out By Move
November 14, 2016
FINRA Settles Non Disclosure Of Tax Liens Without Finding Willfulness
November 11, 2016
Trade Error Haunts Stockbroker
November 8, 2016
FINRA Sanctions Lack of Proactive Compliance
November 3, 2016
The Chief Compliance Officer, The Taxman, And FINRA
October 24, 2016
FINRA Cites Unfair ACAT Charge And Slow Transmittal of Funds
October 19, 2016
Get On Board With New FINRA Rule 2273 Before You On-Board Registered Reps
July 1, 2016
BrokerCheck Dispute Says FINRA Wrongly Says SEC Bar is Permanent
June 9, 2016
Female Completed Continuing Ed for Male Supervisor
May 9, 2016
Wall Street Critic Bill Singer Revisits His 2009 Reform Proposals
April 22, 2016
UPDATE: Net Capital Violations Become Federal Criminal Case
March 23, 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
UPDATE:Brokerage CEO Sentenced to Prison in Net Capital Case
February 19, 2016
Brokerage Firm Censured and Fined for Undetected Statutorily Disqualified Rep
February 3, 2016
The SEC Fears The Email Privacy Act
December 3, 2015
Net Capital Violations Become Federal Criminal Case
November 12, 2015
UPDATE: Federal Appeals Court Reverses Goldman Sachs Arbitration
October 2, 2015
SEC ALJ Sent To Woodshed In Remanded Listing Revocation
August 28, 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
JPMorgan Chase, Citigroup, Barclays, RBS, And UBS Seek SEC Reg D Waivers
May 21, 2015
FINRA Wrestles With Serious,Aggravating, And Egregious Filing Failures For Forms U4 and BD
May 14, 2015
FINRA Named As Defendant In Case Alleging Altered Electronic Files
April 24, 2015
A Purloined Letter Challenges Wall Street To Adapt
February 18, 2015
Unreasonable AML Policies Cited In Trading Platform Fraud
January 29, 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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