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NOW LIVE! The Financial Professionals Coalition, Ltd. Marketplace
December 12, 2023
A Not So Final Closing of the Purchase of a Broker Dealer
July 26, 2023
Federal Court Says Mere Email Noting Change of Employment Does Not Arise to Solicitation
July 18, 2023
Light Bulbs, Coffee Cakes, and FINRA's Regulation of Stockbrokers Designated As Estate Beneficiaries
May 25, 2023
Questioning if Alleged Harm Was Irreparable, Federal Court Denies TRO
May 23, 2023
GUEST BLOG: [In]Securities: The Influencers: The SEC Grounds Stars' TRX by Aegis Frumento Esq
March 31, 2023
Financial Professionals Coalition, Ltd Endorses Ronald Filler, Esq's FINRA Petition for Direct Registration Exam
March 21, 2023
JOIN the Financial Professionals Coalition, Ltd. FREE MEMBERSHIP
March 20, 2023
The Financial Professionals Coalition: Join Us Today
March 8, 2023
Financial Professionals Coalition, Ltd. Announces Historic Launch
February 21, 2023
Calling All Unreasonable Financial Professionals
February 13, 2023
FINRA Arbitrator Denies Indemnification Citing Firm's Failure to Supervise
February 6, 2023
TD Ameritrade Escapes $1.7 In Damages But An Advisor Gets Slammed by FINRA Arbitrators
December 29, 2022
Deferred Compensation Case Meanders to FINRA Arbitration to Federal Court to State Court to Dumpster
October 19, 2022
BrokeAndBroker.com Hit With Second 2022 DMCA Takedown Notice After Prevailing in Same Dispute in 2020
September 16, 2022
10Cir Reinstates in Part La'Tonya Ford's Retaliation /Hostile Work Environment/Constructive Discharge Claims Against Jackson National
August 24, 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
Edelman Financial Goes After Former Employee in Federal Court
June 27, 2022
TradeZero, Meme Stocks, and High Dudgeon From the SEC
May 26, 2022
GUEST BLOG: Advisor Perspectives - An Interview with Recently Transitioned Advisors by Michael King of Michael King Associates
April 14, 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
Motion to Vacate FINRA Arbitration Award Fails To Raise Federal Jurisdiction
March 22, 2022
Fictitious CIA Mission With Bogus Red Cross and Delta Force Influences Became An IRS and Investor Fraud
March 4, 2022
Federal Court Denies J.P. Morgan Securities Expedited Discovery in Solicitation Case
February 23, 2022
JP Morgan Securities' Regional Director's Affidavit Fails to Carry Day in TRO for Impermissible Solicitation
January 25, 2022
FINRA Fines and Suspends Rep Over Undisclosed Elderly Widow's Will Bequest
January 24, 2022
FINRA Arbitration Award Limits Social Media Liking and Linking
January 18, 2022
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
There Was Little She Could Do -- So Why Was This BOM's Record Marked Up?
October 20, 2021
Testimony Before the United States House of Representatives Committee on Financial Services by SEC Chair Gary Gensler
October 6, 2021
4 questions for Wall Street fraud expert Bill Singer with Host Julie Coleman, Financial Planning
September 9, 2021
FINRA Fines and Suspends Rep Over False Attestations Involving an Elderly Widow's Beneficiary Designation
September 1, 2021
GUEST BLOG: Transitioning to Independence by Michael King of Michael King Associates
July 16, 2021
Former Raymond James Rep Wins One and Loses One in Employment Disputes
May 6, 2021
The Elderly Customer, The Will, The Stockbroker, The Complaining Brother, And The Post-Mortem Wires and Checks
May 3, 2021
The Trust, The Beneficiary, The Annuity, The Elderly Customer, and The Stockbroker
April 21, 2021
Desperately Seeking FINRA Arbitration On Remand From Federal Court
April 15, 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
11 Cir Sees No Breach of Contract by Ohio National in Variable Annuity Commissions Lawsuit
March 22, 2021
A Court Seems Unimpressed by Financial Exploitation of an Elderly Widow
March 10, 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
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
Federal Court Grants Summary Judgment in Racial Discrimination Case Involving FINRA BrokerCheck
February 8, 2021
Customer's Annuities Lawsuit Backfires During FINRA Arbitration
December 4, 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
Former Cetera Rep Sues AdvisorNet Financial Over Alleged Supervision and Compliance Failures
October 8, 2020
FINRA Imposes Fine and Suspension Over Deceased Second Cousin Once Removed
September 11, 2020
UPDATE: E Pur Si Mouve, Idioti! (Or So An SEC ALJ Should Mutter)
September 8, 2020
GUEST BLOG: Bill Singer Talks To Industry Recruiter Michael King of Michael King Associates
September 2, 2020
FINRA Arbitrators Find Customer Complaint Made Virtually No Sense During Virtual Hearing
August 19, 2020
Dubious FINRA Study Finds Female Arkansas Prison Inmates Are Usually Poor and Financially Illiterate
July 24, 2020
Bridgewater Over Troubled FINRA Waters
July 15, 2020
Rep's Wife and Adult Children Named as Elderly Customer's Insurance Beneficiaries
June 16, 2020
Market to Hit New Highs, Shut Down Was An Historic Mistake Says Professor Jeremy Siegel
May 27, 2020
Texas Court of Appeals Reverses $3 Million TD Ameritrade Customer Victory
April 15, 2020
FINRA Arbitrators Award Damages To Customer But Offset With Award to Stockbroker
March 6, 2020
Down In the Dunes, Dealing With the Goons with SEC ALJ Foelak
February 11, 2020
[In]Securities Guest Blog: Driving That ESOP Trolley by Aegis Frumento Esq
January 23, 2020
Ameriprise Didn't Know When To Fold In Terminally Ill Customer Case
January 14, 2020
FINRA Addresses Light Bulb and Coffee Cake Abuses
November 15, 2019
E Pur Si Mouve, Idioti! (Or So An SEC ALJ Should Mutter)
November 1, 2019
The Wall Street Simulacrum of Regulation (Now Online and in Video Format)
October 14, 2019
Does Your Brokerage Contract Bite?
October 9, 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
Client Associate Takes 4 Years of Rep's CE
September 24, 2019
The Wife, The Husband, The Divorce, Edward Jones, The Stockbroker, and The Messy FINRA Arbitration
June 26, 2019
GUEST BLOG: Gotta Serve Somebody by Aegis Frumento Esq
June 20, 2019
Bottle of White, Bottle of Red, Perhaps An Assisted Living Bond Instead at FINRA Arbitration
May 3, 2019
GUEST BLOG: Overlooking Maple Street by Aegis Frumento Esq
April 25, 2019
All Voya FINRA AWCs are Not Relevant Except When They Are
April 24, 2019
Edelman Financial Services Loses Non-Solicit Non-Disparagement Case
March 22, 2019
Hymn for the Missing FINRA Public Customer Claimant
December 18, 2018
The Failure of Wall Street Compliance and Regulation: A Case In Point
December 12, 2018
Two Deceased Customers,Their Stockbroker, A POA, A TOD Account, And a Bar
December 3, 2018
Son Calls FINRA Senior Helpline About Trading In Mom's Account
November 27, 2018
GUEST BLOG: Here Be Dragons by Aegis Frumento Esq
November 1, 2018
The Stockbroker, His Wife, 3 Customers, 3 Healthcare Proxies, 1 Trust, and 1 IRA
October 5, 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
SEC Severely Reduces Whistleblower Award for Unreasonable Filing Delay
September 17, 2018
Where There's A Will, FINRA Says No Way!
August 9, 2018
FINRA's Innovation Outreach Initiative and Fifth Harmony Taxonomy As Utilized in Fintech AI
July 31, 2018
FINRA Arbitrators Award Commission to Associated Person For Raising Capital for Customer
July 26, 2018
Variable Annuities And Wall Street's Jurassic World
June 25, 2018
SEC Chairman Jay Clayton: The Devil We Know Champions Main Street
June 22, 2018
BREAKING NEWS: Lucia v. SEC / Supreme Court Finds SEC ALJs Unconstitutional
June 21, 2018
Busted Out Credit Cards Bust Defendants
May 24, 2018
Stormy Daniels Issue Hits FINRA Arbitration Remand
April 4, 2018
FINRA Arbitration Panel Divines Intent of Deceased In Dividing Account Assets
March 29, 2018
Customer Appeals Wells Fargo Arbitration Loss To Federal Court
February 21, 2018
GUEST BLOG: The Department of Justice's Coming Out Party by Darrell Whitman
February 6, 2018
The Damnatio Memoriae of Former SEC Counsel Rory Flynn
December 11, 2017
FINRA Arbitrator Gets By With A Little Help of A Friend
November 30, 2017
DOL Whistleblower Darrell Whitman Files Emergency Request with US Office of Special Counsel
November 24, 2017
97 Year Old Client Names Stockbroker Executor and Beneficiary
November 10, 2017
Too Many Questions In Edward Jones TOD Account FINRA Arbitration
October 24, 2017
SEC Sustains FINRA On Willful Failure to Disclose Tax Liens
October 2, 2017
Sewage Release By Wall Street Regulators
August 24, 2017
7th Circuit Affirms Spoofing Conviction
August 16, 2017
Let There Be Songs To Fill The Air
July 3, 2017
Wall Street Whistleblower Johnny Burris Speaks Truth to Power
June 30, 2017
FINRA Buries the Lede With FAS Rep Settlement
June 26, 2017
FINRA Fines And Suspends Husband For Adding His Wife As Customer's Annuity Beneficiary
June 20, 2017
SEC Issues Historic Stay of ALJ Initial Decisions
May 24, 2017
The Elderly Edward Jones Client, His Account, His Will, His Stockbroker, and The Broker's Wife
May 15, 2017
Stunning $413,000 Award to Wells Fargo Employee in Broker Protocol Case
May 5, 2017
GUEST BLOG: Flawed Attempt for a Good Idea
April 7, 2017
Where There's Willfulness There's No Way At FINRA
March 28, 2017
Damnable Costs of FINRA Expungement
March 20, 2017
GUEST BLOG: Breaking Fake News / THE FIDUCIARY DUTY RULE IS DEAD!!
February 23, 2017
The Will, Disabled Aunt, Stepkids, Executor Nieces, And Stockbroker
February 14, 2017
GUEST BLOG: This Way to Financial Services Reform
February 6, 2017
Federal Courts Dismiss Fiduciary Class Action Against JPMorgan
January 30, 2017
Stockbrokers, Spouses, Marriage, and Away Accounts
January 26, 2017
SEC ALJ Says Bandimere Notwithstanding. And So It Goes. And So It Goes
January 16, 2017
UPDATE: In Face Of Split Circuits, SEC ALJ Rules Because We Say So
January 10, 2017
SEC Opts For Intercircuit Nonacquiescence
January 9, 2017
In Face Of Split Circuits, SEC ALJ Rules Because We Say So
January 6, 2017
Champerty Found In $209 Million Notes Purchase by Cayman Shell from German Bank
October 31, 2016
Safeguarding Retirees from Getting Cheated out of Their Social Security Payments
October 14, 2016
Texas State Senator Rodney Ellis Wins FINRA Employment Arbitration
October 4, 2016
Ex-Wife Sues Wells Fargo Stockbroker Over Expert Witness Role In Divorce
September 13, 2016
SEC Fines Company for Financial Disincentive Provision For Whistleblowers
August 18, 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
Banker Broker Barred Over Rebate of Overdraft Fees
August 8, 2016
Wells Fargo Customer Wins $181,000 For Failure to Cash Out
July 25, 2016
Do I Need to Notify the DOL About My RIA's Reliance on the Best Interest Contract Exemption?
July 18, 2016
Coscia Sentenced to 3 Years In First Spoofing Case
July 13, 2016
Americans for Financial Reform Protest Forced Consumer Arbitration
May 18, 2016
Wedbush Didn't Know What It Lost Till Its Employee Was Gone to Stifel
May 16, 2016
Wall Street Critic Bill Singer Revisits His 2009 Reform Proposals
April 22, 2016
FINRA Arbitrators Deal With Vague And Ambiguous Employment Agreements
April 1, 2016
Borrowing From Customer, Tax Liens, Settling Away,Social Media, And More!
February 26, 2016
Stockbroker Fined and Suspended for Impersonating Mother, Wife, and Cousin
February 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
Another Wall Street Fall Girl Takes A FINRA Flop
September 25, 2015
Website, Social Media, Fees,and Email Fall Off Compliance Officer's Radar
July 20, 2015
BREAKING NEWS: Supreme Court Rules on 401(k) Plan Prudent Management
May 18, 2015
FINRA Arbitrators Say Ineffective Fiduciary Did Not Breach Fiduciary Duty
April 17, 2015
Lawsuit Says FINRA Guilty of Deliberate, Retaliatory,and Malicious Conduct
February 2, 2015
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