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NOW LIVE! The Financial Professionals Coalition, Ltd. Marketplace
December 12, 2023
Oral Argument at SCOTUS on SEC v. Jarkesy (Listen to Audio File / Read Transcript)
November 28, 2023
The Regulatory Hypocrisy of the SEC's New Clearing Agency Governance and Conflicts Rules
November 16, 2023
Quantum Physics and FINRA's Inability to Tally the Votes of Its Board Elections
November 2, 2023
Divorced Customer Sues Morgan Stanley Over Bond Purchases
October 25, 2023
UPDATE: Scrambling to Keep Pace With The SEC Unbearable Load of Rulemaking
October 17, 2023
Nondisclosure of FINRA 2023 Board Votes Is Hypocritical Lack of Corporate Governance Transparency
October 5, 2023
FINRA Fines and Suspends NRF for Having Access to Cell Phone at Home
August 23, 2023
SEC Dismisses Attempt to Do Something About a FINRA AWC
August 14, 2023
Federal Court Says Mere Email Noting Change of Employment Does Not Arise to Solicitation
July 18, 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
Wells Fargo Refuses Wife's Demand To Liquidate Joint Account and Send Her 50% of Proceeds
June 9, 2023
Federal Circuit Court Says Price Isn't Right In UBS Whistleblower Retaliation
June 7, 2023
JP Morgan Caught In The Middle of Dueling Address Changes in Customers' Divorce
May 15, 2023
SEC Says No Second Bite of FINRA Expungement Apple
May 9, 2023
FINRA Arbitrator Dismisses 21 Year Old Claim Against Citigroup Global Markets
April 28, 2023
The Six-Year FINRA and SEC Regulatory Saga of Craig Scott Capital
April 26, 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
After Thanking Very Helpful Whistleblower, SEC Then Stabs The Tipster In The Back
April 12, 2023
GUEST BLOG: [In]Securities: The Influencers: The SEC Grounds Stars' TRX by Aegis Frumento Esq
March 31, 2023
FINRA Shamefully Fines and Suspends Rep For Mistakenly Using A Rep Code
March 29, 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
FINRA's Travesty of a Transamerica Settlement
March 13, 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
Welcome to the BrokeAndBroker.com Blog and the Securities Industry Commentator Feed
March 1, 2023
4Cir Remands SEC's Case To District Court For Some Old Fashioned Jury Muddling
February 27, 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
TD Ameritrade Customer Sues Over Alleged Wrongful Margin Sell-Out
December 22, 2022
Federal Court Denies Reconsideration of FINRA Referral Letter Cited In Federal Insider Trading Appeal
December 19, 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
The Cyberfraud Prevention Fraud, The Impeded Whistleblowing, and The Dissenting SEC Commissioner
November 4, 2022
FINRA Cites RBC Capital Market's Supervisory Review, Personnel Turnover, and Outdated Tech
November 1, 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
Keeping Up With Kenny -- Not the Kardashians
October 12, 2022
BrokeAndBroker.com Hit With Second 2022 DMCA Takedown Notice After Prevailing in Same Dispute in 2020
September 16, 2022
UPDATED: Stone Cold Day of Reckoning for FINRA and Self Regulation
September 12, 2022
Tastyworks Eats $2 Million Worth Of Not-So-Tasty ZOOM Options
August 31, 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
Barred Stockbroker Charged With Five Counts of Wire and Mail Fraud. Did Any Victim Do Any Due Diligence?
August 18, 2022
FINRA Arbitration Panel Finds TD Ameritrade Grossly Negligent With Form U5
August 15, 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
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
Boustead Securities Survives Motion to Dismiss in Success Fee Dispute
July 13, 2022
Charles Schwab SIP Robo-Adviser Cited In FINRA Arbitration
July 5, 2022
122 Days And Counting For FINRA's Independent Review Of Its Arbitration Selection Process
June 20, 2022
Guest Blog: Now You See It, Now You Don't by "Regulated or Aggrieved"
June 15, 2022
Former Sales Manager Barred By FINRA After Assistant Takes His CE Training
June 9, 2022
94 Days And Counting For FINRA's Independent Review Of Its Arbitration Selection Process
May 23, 2022
5Cir Issues Historic Rebuke of SEC ALJ System
May 19, 2022
FINRA Torches Small Brokerage Firm Over Due Diligence Procedures
May 10, 2022
The Curious Case of Donald Howard
May 2, 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
FINRA Is Aligning Its MAP CAIF Grouping Model With Firm Tofu And Feedback -- or so it seems
April 21, 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
SEC Slaps Generic, Non-Specific Whitewash Over Database Scandal
April 6, 2022
3Cir Considers Absolute Privilege For Alleged Form U5 Defamation
April 4, 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 Referral Letter Cited In Federal Insider Trading Appeal
March 30, 2022
Arousing the Wrath of the Great and Powerful SEC and FINRA
March 28, 2022
Stockbroker Wins Expungement of Two Edward Jones Customer Complaints
March 24, 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
One Day In the Life Of Lanny Breuer (the Moscow Anti-Corruption Summit) - Revisited 11 Years Later
March 17, 2022
SEC Claims Review Staff Tortures Whistleblower With Denial of Eventual $14 Million Award
March 14, 2022
FINRA Arbitrators Award Over $2 Million In Disputed Customer Transfer and Asset Purchase Agreement
March 8, 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
Cynical FINRA Press Release Lacks Urgency in Response to Arbitration Fiasco
February 22, 2022
FINRA Arbitration Award Limits Social Media Liking and Linking
January 18, 2022
The Prolonged Saga of In re Goldman Sachs Group, Inc.
December 9, 2021
The European-Style Consolatory Cheek Kiss, the UBS Lawsuit, and the Certified Question
December 2, 2021
Did You Hear About The FINRA Arbitration Against Fidelity For Dental Pain and Suffering?
December 1, 2021
Sound of Silence From A FINRA Arbitration That Says Nothing About Anything Despite Awarding $650,000
November 22, 2021
The Ex-Wife, the Ex-Husband Stockbroker, the Two FINRA Arbitrations, the Stale Case, the Default Case, and the Appeal
November 17, 2021
No-Show FINRA Member Firm Loses Customer Arbitration But Where is FINRA When It Comes To Collecting on the Award?
November 2, 2021
FINRA Arbitrators Revise Beneficiaries in Transfer on Death Accounts
October 27, 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
Testimony Before the United States House of Representatives Committee on Financial Services by SEC Chair Gary Gensler
October 6, 2021
A Thought Piece on Risk from SEC Commissioner Caroline A. Crenshaw
September 28, 2021
FINRA Fines and Suspends Young Merrill Trader For Spoofing Treasuries
September 14, 2021
4 questions for Wall Street fraud expert Bill Singer with Host Julie Coleman, Financial Planning
September 9, 2021
The SEC Is Asked to Go Back To The Future to Rewrite History
September 2, 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
At FINRA, Boys Will Be Boys But Girls Should Act Like Proper Ladies
August 4, 2021
FINRA Sanctions CCO/AMLCO Over Microcap Red Flags And Private Placement Disclosures
July 21, 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
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
Neovest Dissent Pushed Into The SEC Shadows
June 30, 2021
FINRA Fines and Suspends Rep for Undisclosed Bankruptcy in PPM
June 25, 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
GUEST BLOG [In]Securities: Oh No by Aegis Frumento Esq
May 21, 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
Federal Court Rejects TRO Against Brokerage Firm and RIA
May 10, 2021
Brokerage Firm's Third-Party Complaint Against Its Former CEO Remanded to FINRA Arbitration
April 27, 2021
140 Victims Lost Millions In Investment Using Nanotech to Turn Dirt Into Gold
April 26, 2021
Wall Street Compliance Professionals Need FINRA Like A Heart Attack
April 22, 2021
The Trust, The Beneficiary, The Annuity, The Elderly Customer, and The Stockbroker
April 21, 2021
Insult Added to Injury in Puerto Rico Bond Dispute
April 16, 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
GUEST BLOG [In]Securities: The Impossible Dream by Aegis Frumento Esq
March 26, 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
SEC Cites League of Extraordinary Advisers In Denying Waiver of Bar
February 17, 2021
FINRA Fines and Suspends CCO / AMLCO For Structuring
February 15, 2021
NEWSFLASH: FINRA Observes Bad Actors In the Markets
February 11, 2021
Former West Point Cadet Blows Up Wall Street Career
February 10, 2021
Federal Court Grants Summary Judgment in Racial Discrimination Case Involving FINRA BrokerCheck
February 8, 2021
A Modern Tale of Cybercriminals, Fake ID, and a FINRA Arbitration
January 25, 2021
FINRA Margin Arbitration Proves All That Glitters Is Not Goldman Sachs
January 15, 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
SEC Commissioner Peirce Sounds the Due Process Alarm In Response To FINRA Rule Amendment
December 15, 2020
GUEST BLOG [In]Securities: Sometimes, a Man of Peace By Aegis Frumento Esq
December 11, 2020
Misdirection Leaves COR Clearing Without Insurance Reimbursement
December 9, 2020
Outrageous Romance Scam Earns Even More Outrageous Sentence
December 8, 2020
FINRA Fines and Suspends Former NYLIFE Associated Person For Impersonation
December 3, 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
Two SEC Commissioners Dissent From the Shadows
November 16, 2020
Federal Court Dismisses Challenge to Six Year Old FINRA AWC
November 11, 2020
FINRA Turns 300 Orally Authorized Trades Into 300 Trades Of Unauthorized Discretion
October 30, 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
Russians Launch Cyberspace War and BREAKING STORY: US v. Google
October 20, 2020
Former Cetera Rep Sues AdvisorNet Financial Over Alleged Supervision and Compliance Failures
October 8, 2020
Discovery Misconduct by FINRA Enforcement Prompts Tepid Response from Regulator
September 22, 2020
For FINRA, Relevant Is A Large Gray Pachyderm
September 9, 2020
FINRA Proposes OHO and NAC Hearings Via ZOOM
September 3, 2020
Pro Se Public Customer Alleges FINRA Arbitrators' Misconduct in Schwab Case
August 25, 2020
FINRA Arbitrators Find Customer Complaint Made Virtually No Sense During Virtual Hearing
August 19, 2020
UPDATE: No Rationale And No Explanation In FINRA Arbitration Decision
August 18, 2020
UPDATE: FINRA Says Brokerage Fee An Undisclosed Commission
August 12, 2020
SDNY Says You're Gonna Have To Serve Somebody (And Email Ain't Gonna Cut it)
August 11, 2020
SEC Remands Feitelberg Bar to FINRA Citing Respondent's Serious Illness
July 28, 2020
UPDATE: No Rationale And No Explanation In FINRA Arbitration Decision
July 20, 2020
$25,000 E*Trade Pattern Day Trading Minimum Deposit Requirement Challenged in Federal Lawsuit Against FINRA
July 2, 2020
UPPER CASE MESSAGES!!! EXCLAMATION POINTS!!! AND A FINRA FINE AND SUSPENSION!!!
June 26, 2020
Gregory Acosta Hands FINRA an Earth Shattering, Precedent Setting, Historic, Stunning Defeat
June 24, 2020
Federal Court Considers FINRA Arbitrability of Insurance Claims
June 18, 2020
Rep's Wife and Adult Children Named as Elderly Customer's Insurance Beneficiaries
June 16, 2020
FINRA Arbitrator Sings Signed, Sealed, Delivered and Return to Sender In Default Award
June 9, 2020
What Presidential Sounds Like
June 8, 2020
Stockbroker Expungement Grapples With Death and Taxes in Time of Plague
June 5, 2020
Legend-ary Retirement Plan Embroils Cetera and First Allied in Federal Lawsuit
May 26, 2020
[In]Securities Guest Blog: Dear Prudence by Aegis Frumento Esq
May 21, 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
FINRA Arbitrators Award Severance to Former Barclays Employee
May 13, 2020
FINRA Censures, Fines and Orders Restitution in Suitability Settlement
May 6, 2020
Federal Court Orders Rare TRO In Favor of Terminated Rep Against Investacorp
May 5, 2020
FINRA Baseball Caps, Rice Krispies Treats, Hiring Spree, and ZOOM OTRs
May 1, 2020
[In]Securities Guest Blog: Get What You Need by Aegis Frumento Esq
April 30, 2020
Damages Awarded in Form U5 Defamation Case Against Allstate
April 28, 2020
IRA Dispute Offers a Bleak House for Fidelity Stockbroker
April 20, 2020
Federal Courts Consider Disturbing FINRA Customer Arbitration Decision
April 17, 2020
Texas Court of Appeals Reverses $3 Million TD Ameritrade Customer Victory
April 15, 2020
No Good Riddance from GFI In FINRA Good Leaver Arbitration
April 13, 2020
Whole Worker Sick-Out Was Half-Assed
April 3, 2020
We Will Prevail: Compassion, Sacrifice, and Endurance
March 20, 2020
The Pen Is Mightier Than The Sword But Don't Bring Either Into A FINRA Test Center
March 18, 2020
Thought And Preparation In Wall Street Plague Time
March 11, 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
Sexual Bondage, Videotapes, Divorce, Criminal Charges, Revenge Porn and FINRA
February 26, 2020
Cannabis Science Case Smokes Definition of Brokerage Customer
February 19, 2020
Guest Blog: The 10 Warning Signs of a Crypto Scam by Jesus Cedeno
February 6, 2020
Prudential Wins Dismissal of Tortious Interference Claim
January 22, 2020
[In]Securities Guest Blog: Born to be Wild by Aegis Frumento Esq
January 9, 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
The Temptations of Collecting Data at the SEC
December 16, 2019
GROWING SCANDAL ALERT: Italian Cheese Flying the False-Flag of France
December 3, 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
Muni Rigor Mortis
October 21, 2019
No Rationale and No Explanation In FINRA Arbitration Decision
October 8, 2019
Getting the Girl to Do It On Wall Street
October 4, 2019
Client Associate Takes 4 Years of Rep's CE
September 24, 2019
Old CUSIP. New CUSIP. And a Customer Sues TD Ameritrade
September 11, 2019
Rocky Enters Texas Ring Over Fee-For-Advice Dispute
September 3, 2019
FINRA Bars Stockbroker After RBC Makes $1 Million Pricing Error
August 28, 2019
Court Says Morgan Stanley Employee Failed to Opt Out of Arbitration Clause
August 27, 2019
FINRA Puts Lime Brokerage in the Self-Regulatory Coconut
August 21, 2019
FINRA Conducts Retrospective Rule Review on Senior Investors
August 12, 2019
FINRA's Hearing Officers Are 70% Former FINRA and 30% Former SEC
August 2, 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
SEC Task Force to Host Roundtable On Elder Fraud (Coffee and Danish Will Be Served, Maybe)
July 23, 2019
GUEST BLOG: Standing on the Moon by Aegis Frumento Esq
July 18, 2019
GUEST BLOG: Hester's Scarlet Begonias by Aegis Frumento Esq
July 11, 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
GUEST BLOG: The Great Pretender by Aegis Frumento Esq
June 27, 2019
The Wife, The Husband, The Divorce, Edward Jones, The Stockbroker, and The Messy FINRA Arbitration
June 26, 2019
Wells Fargo Banker and Broker Loses Humpty Dumpty FINRA Arbitration
June 24, 2019
Courts Tell Divorced Stockbroker to Try A Little Bit Harder
June 7, 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
The Hysterical and Yelling Customer, The Market Crash, and A FINRA Expungement
May 29, 2019
GUEST BLOG: FINRA Chokes on a Smoking Ear by Aegis Frumento Esq
May 23, 2019
Former Morgan Stanley Branch Manager Wins Expungement of Failure to Supervise Claims
May 15, 2019
Federal Court Remands SEC's Willfulness Findings in Robare Form ADV Case
May 1, 2019
Court Suspends Former NYSE Arbitration Counsel and FINRA Arbitrator
April 10, 2019
Death Craps Out With Viatical Settlement Dice
April 9, 2019
GUEST BLOG: Lorenzo's Oil Slick by Aegis Frumento Esq
April 4, 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
Former Vanguard Employee Terminated For "Work Avoidance" Fails To Show At His Expungement Hearing
March 26, 2019
FINRA Suspends CEO and CCO Over Failed Supervision of Exotic ETFs
March 20, 2019
SEC Whistleblowers Blow Their Own Whistles Too Late For Awards
March 12, 2019
Wife Says JP Morgan and Stockbroker Scammed Her In ReFi of Ex-Husband's Mortgage
March 8, 2019
Stockbroker Only One Call Away From FINRA Fine and Suspension
March 1, 2019
Charles Schwab Sues Customers Over XIV Debit Balance
February 25, 2019
GUEST BLOG: To Hold and Have Not by Aegis Frumento Esq
February 14, 2019
Former National Securities Corp President/CEO Sues Firm In FINRA Expungement Case
February 12, 2019
Federal Court Says Former Raymond James Employee Was On Notice of FINRA Arbitration
January 14, 2019
Unstrained Mercy Gently Rains Down After FINRA Bar
January 4, 2019
Hymn for the Missing FINRA Public Customer Claimant
December 18, 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
Getting Stoned Takes On New Meaning Plus Bonus Grandparent Alert
November 21, 2018
GUEST BLOG: Pragmatic Federalism In a Blockchained World by Aegis Frumento Esq
November 15, 2018
FINRA Bars Analyst For Biting Off More Than She Could Chew
November 13, 2018
Buyer's Remorse Over Industry Bar Prompts Epic SEC Appeal
November 7, 2018
Ameriprise Wins Epic Battle With Advisor Who Pled Guilty In Criminal Case
October 31, 2018
E*Trade Best Execution Case Reaches Federal Appeals Court
October 30, 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
Customer Seeks $2 Million In Puerto Rico Bond Arbitration
October 12, 2018
10 Years After, World Is Changed For Ameriprise Stockbroker In FINRA Expungement
October 9, 2018
Last Dance? SEC Hopes It Has Finally Zipped Zipper Appeals
October 3, 2018
LPL Stockbroker Wins FINRA Expungement Despite Six Figure Customer Settlement
October 1, 2018
GUEST BLOG: All You Need Is A TCR and a Dream by Aegis Frumento Esq
September 27, 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
GUEST BLOG: How the SEC Would Run (and Ruin) Your Firm by Aegis Frumento Esq
September 13, 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
Chancery Court Denies TRO After Alleged Defamation to SEC and FINRA
August 20, 2018
10 Year Employee Forgivable Loan Battle Frustrates UBS
August 13, 2018
Where There's A Will, FINRA Says No Way!
August 9, 2018
The Greek Yogurt Justice of Strained FINRA Mercy
August 8, 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
UPDATE: SEC Vacates PCAOB Action in Laccetti and Cancels Sanctions
July 18, 2018
5% Solution In FINRA Expungement Arbitration
July 13, 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
SEC Seeks to Reform Its Whistleblower Process
July 3, 2018
Somebody's Got To Pay And FINRA Arbitrator Says It's Scottrade
June 29, 2018
Zipper Plays Sisyphus to FINRA's Zeus
June 21, 2018
Is FINRA Sleepwalking Through Member Firm Examinations?
June 20, 2018
A Suicide on Wall Street -- and -- The Human Factor on Wall Street
June 15, 2018
The Human Factor On Wall Street
June 14, 2018
GUEST BLOG: A Suicide on Wall Street
June 13, 2018
GrandFund in a FINRA Grand Funk
June 5, 2018
Arbitration Mistake Becomes a FINRA Moneymaker
May 22, 2018
Post Mortem Auto-Pilot Trading Sends Stockbroker's Career Into Head-On Regulatory Crash
May 21, 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
Rashomon Plays Out In Merrill Lynch Discretionary Case
April 16, 2018
Stormy Daniels Issue Hits FINRA Arbitration Remand
April 4, 2018
Federal Appeals Court Reverses PCAOB and SEC over Denial of Ernst & Young Expert Witness
April 3, 2018
Federal Courts Wrestle With Opening Doors To US Courthouse to KOSPI Class Action
April 2, 2018
Perennially Hopeless Battle On In JP Morgan FINRA Arbitration
March 27, 2018
Branch Office Agreement At Heart of Industry Arbitration
March 21, 2018
Merrill Lynch Employee and AllianceBernstein Work It Out In Unfair Competition Dispute
March 16, 2018
Federal Court Sustains FINRA / SEC Over CEO Reckless Disregard of Net Cap Rule
March 12, 2018
Citi Hit With Over $4 Million Award In Wrongful Termination Arbitration
March 5, 2018
Days Late and Dollars Short For Former Oppenheimer Employee
February 14, 2018
Emergency Surgery Fails To Remove Margin Call
February 12, 2018
Rankles Raised In FINRA Expungement
February 8, 2018
SEC Zaps Zipper's Second Stay Request
February 7, 2018
GUEST BLOG: The Department of Justice's Coming Out Party by Darrell Whitman
February 6, 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 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
Rep Emails Self 1,300 Account Numbers And FINRA Comes A Knockin'
January 9, 2018
Class A Mutual Fund Front-End and FINRA Back-End
January 3, 2018
The Dead Father, Feuding Kids, Stockbroker In The Middle, and the Lawsuit
December 26, 2017
Second Circuit Reinstates BATS HFT Class Action
December 20, 2017
Victim Blamed For Victimizing Victimizers in ATM Federal Appeal
December 18, 2017
FINRA Arbitrator Holds Public Customer Claimant In Contempt
December 13, 2017
Season's Greetings From FINRA. You're Fined and Suspended. Ho, ho, ho.
December 12, 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
Stockbrokers Succession Plan Grapples With Mine, Ours, and Yours
December 5, 2017
Bleak Marshall Family Drama Hits FINRA Arbitration
December 4, 2017
UPDATE: SEC Says No Mulligans For FINRA Settlements
November 29, 2017
FINRA Suitability Settlement Involves Five Elderly Retired Morgan Stanley Customers
November 27, 2017
DOL Whistleblower Darrell Whitman Files Emergency Request with US Office of Special Counsel
November 24, 2017
CEO CCO FINOP Fined And Suspended Over Classification of Personal Expenses
November 20, 2017
SEC Nixes Stay of Statutory Disqualification
November 8, 2017
Federal Appeals Court Deems FINRA Deputy of the Federal Government
November 6, 2017
FINRA Tackles Insurance Claim Allowable Assets. But Is It Relevant?
November 3, 2017
Was That Customer Email a Discussion, Grievance, or Complaint?
November 2, 2017
Paige Pierce For 2017 FINRA NAC Small Firm Member
November 1, 2017
FINRA Settlement Is A Matter of Time And Price
October 31, 2017
Former JP Morgan Employee Represents Himself in Paternity Leave Case
October 12, 2017
SEC Rejects Stockbroker Appeal of 2006 NASD Bar
October 5, 2017
Child Endangerment Defendant Barred By FINRA
September 28, 2017
BREAKING NEWS: SEC Loses Dramatic CLO Case Against Tilton and Zohar
September 27, 2017
Lawyers Cast Aspersions In Nasty FINRA Arbitration Involving Divorced Couple
September 22, 2017
Wachovia Customer Sues Wells Fargo Over FundSource Losses
September 20, 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
Stockbroker Refunds Commissions To Unhappy Morgan Stanley Customer
September 11, 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
SEC Case Against S&P Duka Fizzles Out
August 30, 2017
Turning Right Is Wrong At FINRA Red Light
August 30, 2017
Sewage Release By Wall Street Regulators
August 24, 2017
2Cir Affirms Icahn Victory In Options Disgorgement Case
August 4, 2017
Employee Wins Over $1 Million In Fraudulent Inducement Hiring Case
July 28, 2017
I Scream, You Scream, FINRA Screams for Ice Cream
July 18, 2017
The Customer Settles And The Stockbroker Wins An Expungement
July 13, 2017
Testing FINRA's Test Center Patience
July 11, 2017
FINRA Disciplinary Settlement Raises Relevancy of Any
July 10, 2017
Wall Street Whistleblower Johnny Burris Speaks Truth to Power
June 30, 2017
FINRA Fines And Suspends Husband For Adding His Wife As Customer's Annuity Beneficiary
June 20, 2017
UPDATE: Potentially Dubious Flexible Rescheduling Of SEC Hearing And Awry,Alaska Cruise
June 14, 2017
FINRA's Willy Nilly Tax Lien Settlements
May 25, 2017
Potentially Dubious Flexible Rescheduling of SEC Hearing
May 19, 2017
FINRA Arbitrator Tosses Stale Wells Fargo Customer Case
May 4, 2017
Barclays and Traders Settle SEC RMBS Mark Up Case
May 1, 2017
GUEST BLOG: Are Decepticons Duplicitous? by Stephen Kohn
April 28, 2017
FINRA Settles With Advisor Who Acted as POA and Health Surrogate
April 18, 2017
FINRA Arbitrators Find Everyone At Fault In Customer Case
April 14, 2017
FINRA Fines and Suspends Rep For Customer Borrowing
April 13, 2017
Decepticons Invade FINRA As Nationwide Email Program Reload Fails
April 10, 2017
Casino Bets Fade Investors Retirement Savings
April 5, 2017
Broker Wins Expungement of Deceased Customer's 13-Year-Old Complaint
April 3, 2017
The Dry Cleaner, Planet Alderaan, FINRA, Wells Fargo, and the Disturbed Force
March 31, 2017
Stifel Gives It Away In SEC Settlement
March 15, 2017
FINRA Cites Pennystock Sales By Feltl Rep While Customers Buying
March 10, 2017
The Dead Customer, Her Son, Trading Losses, and Stockbroker's Expungement
March 3, 2017
Investment Adviser Charged With Fake Withdrawals and Forgeries
February 22, 2017
Hidden Warning In SEC Corporate Disclosure Defaults
February 16, 2017
Merrill Lynch FINOP Cited By SEC for Unprecedented Violations
February 15, 2017
Is SEC Cherry Picking Case Nit Picking Depositions?
February 13, 2017
Real Estate Flipper Sued For Investment Fraud
February 8, 2017
GUEST BLOG: This Way to Financial Services Reform
February 6, 2017
Stockbrokers, Spouses, Marriage, and Away Accounts
January 26, 2017
SEC Slams Brakes On FINRA In A Hurry To Get Things Done
January 25, 2017
POSITION AVAILABLE: Broker Dealer Compliance Consultant
January 20, 2017
SEC Fines BlackRock For Financial Disincentive Provision For Whistleblowers
January 17, 2017
Stockbroker Impersonations Prompt FINRA To Ask Who Are You
January 17, 2017
SEC Settles 3 RIA Referral Fees Cases
January 11, 2017
FINRA Arbitrators Slam Wedbush In Pay Dispute
January 10, 2017
A FINRA Settlement Asks How Long Is Too Long? When Is Enough Enough?
January 3, 2017
UPDATE: SEC Proceeding Is A Travesty of a Mockery Of a Sham of a Mockery of a Travesty of Two Mockeries of a Sham
December 26, 2016
SEC Charges Adviser Stockbroker With Wheel Turnin' Round And Round Fraud
December 16, 2016
Stockbroker Repays Client Loan But Ends Up In Trouble
December 9, 2016
Stockbroker Excel Error And Clients Liquidation Losses
December 8, 2016
The Some and Almost All Of A FINRA Unauthorized Discretion Settlement
December 6, 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
Bogus Stockbroker Gets 15 Years In Prison For Elder Fraud
November 22, 2016
The Divorcing Husband And Wife Stockbrokers Joint Production Team
November 17, 2016
Godzilla, Frankenstein, tradeMONSTER and Not So Obvious Error
November 10, 2016
Merrill Lynch Defamation Ruins Stockbroker Career
November 9, 2016
Death Be Not Proud Or Profitable In SEC Fraud Case
November 7, 2016
Wage Garnishments Are FINRA Smoke Signals
November 1, 2016
Wanton Disregard Cited In FINRA Raiding Arbitration
October 27, 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
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
Texas State Senator Rodney Ellis Wins FINRA Employment Arbitration
October 4, 2016
SEC Says Independence Compromised By Auditor And Client Friendship
September 23, 2016
Ex-Wife Sues Wells Fargo Stockbroker Over Expert Witness Role In Divorce
September 13, 2016
The Best Offense Is A Good Defense
September 9, 2016
Career Skid Marks Left By Altered Auto Insurance Declaration Page
September 6, 2016
Cyber Security for Financial Firms
September 1, 2016
SEC Proceeding Is A Travesty of a Mockery Of a Sham of a Mockery of a Travesty of Two Mockeries of a Sham
August 31, 2016
Compliance Is A Sentence, Not A Word
August 26, 2016
SEC Fines Company for Financial Disincentive Provision For Whistleblowers
August 18, 2016
SEC Splits Over CPA Bars For PCAOB Audit
August 15, 2016
Banker Broker Barred Over Rebate of Overdraft Fees
August 8, 2016
Morgan Stanley Humiliated in $10 Million Employee Loan Arbitration
August 5, 2016
Double Trouble On Wall Street
August 4, 2016
FINRA Says It's A Matter of Trust Or Is That Trustee?
July 29, 2016
Brokerage Firm Demands $2.6 Million Damages From Former Employees
July 28, 2016
Lawsuit Pits Wrongful Termination Against Hyped Trailing Revenues
July 26, 2016
Feds Unfriend Facebook Fraud Fleecers
July 22, 2016
Wrap It Up! SEC Settles Wrap Fee Case
July 21, 2016
Wally and Giovanni: New FBI Crisis Response Canines
July 20, 2016
Ex-Wife, Deceased Father, Executrix Daughter, Retirement Account, and Annuity
July 19, 2016
Voyeurs In A Digital Age: In Memoriam, Nice, France
July 15, 2016
All Along The Wall Street Watchtower
July 14, 2016
SEC Put Writing and Swap Case Slogs To Federal Courts
July 12, 2016
Multiple Max Bialystocks in Movie Scam Indictment
July 6, 2016
Get On Board With New FINRA Rule 2273 Before You On-Board Registered Reps
July 1, 2016
FINRA Says Customer Oral Authorization Not Worth The Paper It's Not Written On
June 21, 2016
FINRA Mixed Message About Inflating Sales And Trades
June 20, 2016
IRS Says FINRA Schrodinger Cat Has Three Lives
June 16, 2016
Bill Singer On New FINRA CEO Robert Cook
June 15, 2016
CCO Fined and Suspended For Missing Private Securities Transaction
June 14, 2016
SEC Crisis Response Criticized In Compelling Law Review Article
June 10, 2016
The Paralysed Force of the SEC And Its Gesture Without Motion
May 31, 2016
SEC Can't Reach Federal Inmate For Telephonic Hearing
May 26, 2016
Americans for Financial Reform Protest Forced Consumer Arbitration
May 18, 2016
Online Microcap Finder Fee Platform Raises FINRA Regulatory Concerns
May 12, 2016
Drop Phones and Kickbacks Cited in SEC ForceField Stock Promo Complaint
May 4, 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
Wall Street Critic Bill Singer Revisits His 2009 Reform Proposals
April 22, 2016
Customers Sue Ameriprise Over African Mining Stock In Their IRAs
March 31, 2016
Chief Compliance Officer Fined and Suspended For Failed Email Review
March 4, 2016
Stockbroker Fined and Suspended for Impersonating Mother, Wife, and Cousin
February 22, 2016
UPDATE: SEC Inspector General Exonerates ALJ System
February 12, 2016
FINRA Email AWC Raises Question About Regulatory Hypocrisy
January 29, 2016
FINRA Fines And Suspends Rep For Service as Director
January 22, 2016
Lord Voldemort, Merrill Lynch, Bank of America, and FINRA
December 30, 2015
UPDATE: Bank Employee Charged With Illegal Access Of 730,000 Accounts
December 24, 2015
SEC Reversed ALJ But Federal Court Reverses SEC
December 21, 2015
Artwork Purchases and Charitable Donations Cited In FINRA Settlement
December 10, 2015
FINRA Jurisdiction Over Insurance Agent Activity Challenged In SEC Appeal
December 9, 2015
The SEC Fears The Email Privacy Act
December 3, 2015
Former Allianz Rep Sues To Clear Her Name In War Over Expenses
November 23, 2015
RBC In Breathless Arbitration Over Zombies And Beauty Parlor Fumes
October 22, 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
Conspirators Indicted In Online Malware Attacks Against Financial Accounts
October 19, 2015
FINRA Hearing Panel Dismisses Private Offering Case
October 16, 2015
SEC Goes After Disbarred Lawyer For Investment Advisory Activity
October 9, 2015
Bank Employee Charged With Illegal Access of 730,000 Accounts
October 7, 2015
UPDATE: Federal Appeals Court Reverses Goldman Sachs Arbitration
October 2, 2015
Split In The Circuits Widens As Jarkesy Challenges SEC
October 1, 2015
Folded Note Found On Test Center Floor
September 14, 2015
Unregistered Activity Proves Katalyst For FINRA Settlement
August 31, 2015
FINRA Jams Ditto Copying of Trades
August 17, 2015
Website, Social Media, Fees,and Email Fall Off Compliance Officer's Radar
July 20, 2015
1 Registered Rep, 5 Days, and 9 NSF Checks
July 10, 2015
SEC Commissioner Aguilar Says Commissioner Gallagher Wrong About Chief Compliance Officer Regulation
June 30, 2015
Notes In FINRA Test Center Earn Fine And Suspension
June 22, 2015
UPDATE: SEC Derails Scam Train On Trading Platform
June 15, 2015
Failed Email Review Offers Example Of Hidden Compliance Costs
June 5, 2015
Study Guide Fails A Wannabe Stockbroker
May 29, 2015
UPDATE: Bill Singer's Ennui In Response To The DOJ FOREX Press Junket
May 20, 2015
SEC ALJ Rejects Mere Witness Inconvenience
May 7, 2015
FINRA Named As Defendant In Case Alleging Altered Electronic Files
April 24, 2015
SEC Awards Compliance Officer Million Dollar Whistleblower Bounty
April 22, 2015
SEC Derails Scam Train On Trading Platform
April 13, 2015
SEC Whistleblower Program Is A Black Hole Of Despair
April 9, 2015
SEC Settles With KBR On Effort To Impede Or Undermine Whistleblowers
April 2, 2015
SEC Grants FINRA An Extraordinary Voluminous Extension
March 19, 2015
Former Lek Employee Suspended For Taking The Fifth At FINRA
March 16, 2015
FINRA Fines Firm For Miscommunication Between Compliance And Payroll
March 13, 2015
First SEC Whistleblower Bounty Awarded To Corporate Officer
March 3, 2015
Supreme Court Asks If A Fish Is Always A Fish Or Sometimes A Computer Hard Drive
February 26, 2015
A Purloined Letter Challenges Wall Street To Adapt
February 18, 2015
Stockbroker Selfies Are Regulatory Negatives
February 12, 2015
A Tale Of Two Wall Streets And FINRA's Disparate Sanctions
February 11, 2015
SIFI Snoopy In Constitutional Dogfight With Feds
January 15, 2015
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