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Topic List for Customer (59 results)
Federal Court Says FINRA Arbitration Not So Lucid in the Sky with Diamonds
July 19, 2023
Court Denies Vacatur of Over $2 Million FINRA Arbitration Award Involving Disputed Customer Transfer and Asset Purchase Agreement
June 21, 2023
The SEC Toys With A Dead FINRA Expungement Mouse for 50 Months
January 31, 2023
FINRA Rights REIT Wrongs With Fine and Suspension
April 18, 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 Arbitration Claimant Asks Federal Court to Appoint Counsel
March 29, 2022
Motion to Vacate FINRA Arbitration Award Fails To Raise Federal Jurisdiction
March 22, 2022
FINRA Arbitrators Award Over $2 Million In Disputed Customer Transfer and Asset Purchase Agreement
March 8, 2022
UPDATE: The Google, Candido Viyella, Morgan Stanley, Fundacion Nicor Panama Saga: a Bill Singer 2022 Copyrighted Article fighting DMCA Takedowns
February 24, 2022
The Candido Viyella, Morgan Stanley, Fundacion Nicor Panama Saga: a Bill Singer 2022 Copyrighted Article fighting DMCA Takedowns
February 21, 2022
FINRA Arbitration Award Limits Social Media Liking and Linking
January 18, 2022
Two of Three FINRA Arbitrators Ironically Disappear In Unexplained Expungement Award
November 16, 2021
Stipulated Arbitration Award Ends TD Ameritrade Solicitation Dispute
October 28, 2021
The FINRA Expungement of A Customer Complaint That Was Not a Complaint Or From A Customer
October 11, 2021
Federal Court Cites Confusion Of Ray Jay's Many Raymond Jameses
May 5, 2021
Schemes From a California Restaurant
December 7, 2020
The LPL Stockbroker, The Customer Lawsuit, The Expungement Arbitration, and The SLAPP Lawsuit
December 1, 2020
FINRA Arbitrators Find Customer Complaint Made Virtually No Sense During Virtual Hearing
August 19, 2020
Stockbroker Expungement Grapples With Death and Taxes in Time of Plague
June 5, 2020
Federal Court Cites Confusion of Ray Jay's Many Raymond Jameses
May 4, 2020
Hot Shoe Burnin' Down Wall Street In FINRA Morgan Stanley Panama Arbitration
February 27, 2020
FINRA AWC Cites Prospective Customer, Possible Investor, and Proposal
September 4, 2019
FINRA Fines and Suspends Rep for Unauthorized Transfer of 270 Customers' Info
July 16, 2019
Another Day. Another FINRA Regulatory Settlement. Another Case Involving Who Owns the Customer
May 31, 2019
FINRA Notice To Members 19-10 Should Have Said What It Meant
April 8, 2019
The Wife, The Husband Stockbroker, The Divorce, The Wife's Complaint, and a FINRA Expungement Arbitration
December 5, 2018
11th Circuit Rejects Mandatory FINRA Arbitration By Customers
September 25, 2018
RBC Stockbroker Wins Expungement of ARS Complaints
September 12, 2018
FINRA Arbitrators Award Commission to Associated Person For Raising Capital for Customer
July 26, 2018
Stockbrokers Victimized by Customer Imposter and FINRA Fees and Charges
July 10, 2018
Rankles Raised In FINRA Expungement
February 8, 2018
FINRA Arbitrators See No UBS, Citigroup, or Merrill Customers And Dismiss Case
January 23, 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
Who Owns The Customer? Open Letter to FINRA Board from Bill Singer Esq
January 8, 2018
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
Delayed Resignation,Twitter,and Email Get Stockbroker Fined and Suspended
October 26, 2017
Brokerage Customer Says That What Looks Like A Complaint Wasn't So Intended
October 19, 2017
Veteran Sues USAA Investment Mgmt Over Alleged Mental Disability
September 7, 2017
A Stockbroker, Her LLC, And Her Customers' Loans (Or Investment?)
August 17, 2017
Rep Wins Expungement of 11 Year Old Complaint At Defunct Brokerage Firm
June 29, 2017
FINRA Settles With Merrill Lynch Rep Who Tried To Sell Customer Information
April 11, 2017
Broker Wins Expungement of Deceased Customer's 13-Year-Old Complaint
April 3, 2017
Bill Singer Analyzes FINRA Expungement Rules 2080 and 2081
March 27, 2017
The Dead Customer, Her Son, Trading Losses, and Stockbroker's Expungement
March 3, 2017
FINRA Cites Unfair ACAT Charge And Slow Transmittal of Funds
October 19, 2016
PNC and Wells Fargo Stockbroker Wins Customer Complaints Expungement
September 19, 2016
GUEST BLOG: Who Is A Customer For Purposes of FINRA Arbitration Rule 12200 by Martin P. Unger Esq
September 16, 2016
The Stockbroker, The Barred Customer, And The Sister-In-Law's Company
August 2, 2016
Secret Customer Settlement Gets Stockbroker Fined and Suspended
July 13, 2016
A Stockbroker, His Former Customer, A Restaurant, And The New Face of Wall Street Regulation
March 30, 2016
SEC Cites Stockbroker Over Confidentiality of Inherited Accounts
March 2, 2016
UPDATE: Bank Employee Charged With Illegal Access Of 730,000 Accounts
December 24, 2015
That Customer Complaint May Not Be A FINRA Reportable Event
December 4, 2015
FINRA Complains About CCO Complaint Reporting
October 29, 2015
Undisclosed Customer Complaints Cited In FINRA Arbitration
June 24, 2015
Stockbroker Fined and Suspended For Sending Customer Data To New Firm
May 18, 2015
Unreasonable AML Policies Cited In Trading Platform Fraud
January 29, 2015
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