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Topic List for Em (640 results)
Former Merrill Lynch Rep Stuck In FINRA Arbitration Expungement Turnstile
January 3, 2024
SEC Sustains in Part and Remands FINRA Case Against Southeast Investments and President Black
December 8, 2023
Double Standards In State Regulation and Self Regulation of Wall Street's Large Firms
November 20, 2023
Wall Street Regulators Provide Express Check-Out Line for Goldman Sachs
September 26, 2023
FINRA Board of Governors Confronted with Troubling Jeffrey Epstein Developments
August 16, 2023
SEC Dismisses Attempt to Do Something About a FINRA AWC
August 14, 2023
A Not So Final Closing of the Purchase of a Broker Dealer
July 26, 2023
FINRA Has Some 'Splaining To Do As Arbitrators Deny Gender Discrimination Claims
July 24, 2023
Lord Voldemort on Wall Street: When DOJ, SEC and FINRA Will Not Name Names
July 10, 2023
Court Denies Vacatur of Over $2 Million FINRA Arbitration Award Involving Disputed Customer Transfer and Asset Purchase Agreement
June 21, 2023
SEC Sends FINRA Expungement Back to the Future
June 12, 2023
Wells Fargo Refuses Wife's Demand To Liquidate Joint Account and Send Her 50% of Proceeds
June 9, 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 Says No Second Bite of FINRA Expungement Apple
May 9, 2023
A Call for Boycott: FINRA Board of Governors' Cowardly Silence Becomes Thunderous
May 1, 2023
FINRA Bars former Securities America Rep For Conversion
April 21, 2023
Time to Call False Start Penalty Against SEC Reg ATS Rulemaking
April 19, 2023
After Thanking Very Helpful Whistleblower, SEC Then Stabs The Tipster In The Back
April 12, 2023
FINRA Shamefully Fines and Suspends Rep For Mistakenly Using A Rep Code
March 29, 2023
SEC Tells FINRA to Raise the Gate For Ineligible Expungement Case
March 23, 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
Blackbook Capital Versus FINRA: A Decade of Battle
March 6, 2023
Federal Court Deems FINRA Absolutely Immune in Expungement Lawsuit
February 28, 2023
SEC Press Release Fails To Disclose that OCC Settled Charges Without Admitting or Denying Findings
February 17, 2023
Lira v. Edward Jones: An Ironic and Cynical Tale of Alleged Discrimination, Harassment, and Retaliation
February 9, 2023
FINRA Arbitrator Denies Indemnification Citing Firm's Failure to Supervise
February 6, 2023
The FINRA Regulatory Mule Kicks Defrauded Customers In the Head
February 2, 2023
The SEC Toys With A Dead FINRA Expungement Mouse for 50 Months
January 31, 2023
Imagine That a $10 Million FINRA Arbitration Claim Settles for $100,000
January 6, 2023
Federal Court Says Customer Had Duty To Notify Schwab of Malfunctioning Order System
January 4, 2023
FINRA Sued in the Wrong Place At the Wrong Time Affirms Federal Circuit Court
December 21, 2022
Sexism on Wall Street: The Cowardly Silence of FINRA's Board of Governors
November 28, 2022
Magical Mystery Tour Of A FINRA Arbitration Expungement Award
November 22, 2022
Brokerage Firm Sues Former Stockbroker for Indemnity After Paying Customer Settlement
November 17, 2022
The Gensler SEC's Rulemaking Reach Exceeds Its Grasp
November 7, 2022
The Problem for A Merrill Lynch Registered Rep Seeking the Expungement of a Settled FINRA Arbitration
October 25, 2022
GUEST BLOG: [In]Securities: Trading Cards as a Meditation: Are NTFs Securities? by Aegis Frumento Esq
September 9, 2022
Unsettling Settlement Puts FINRA's Board of Governors in Troubling Light
August 29, 2022
Former Ameriprise Rep Files Lawyer Malpractice Complaint After Losing FINRA Promissory Note Arbitration
August 22, 2022
Claimant Wins $57 Million in FINRA Arbitration Award and Once More Around The Loop with Bill Singer
August 17, 2022
FINRA Arbitration Panel Finds TD Ameritrade Grossly Negligent With Form U5
August 15, 2022
Federal Court Denies Legend Securities President Bankruptcy Discharge of FINRA Customer Arbitration Award
August 10, 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
Fidelity Brokerage Services Has Two Trains Runnin' in FINRA Arbitration and Federal Court
July 25, 2022
Charles Schwab SIP Robo-Adviser Cited In FINRA Arbitration
July 5, 2022
GUEST BLOG [In]Securities: Jive Talkin': The SEC Busts a Braggin' Broker by Aegis Frumento Esq
June 24, 2022
Suspension of Disbelief: The Louis Ottimo FINRA to SEC Back to FINRA Back to SEC Regulatory Saga
June 23, 2022
Former Sales Manager Barred By FINRA After Assistant Takes His CE Training
June 9, 2022
J.P. Morgan Securities Demolished In FINRA Non-Solicitation Arbitration
June 6, 2022
TradeZero, Meme Stocks, and High Dudgeon From the SEC
May 26, 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
A Customer Complaint That Wasn't and A Servicing Broker Who Wasn't
May 6, 2022
The Curious Case of Donald Howard
May 2, 2022
FINRA Arbitration Panel Slams Cetera Advisors with $3 Million Defamation Damages
April 29, 2022
FINRA Rights REIT Wrongs With Fine and Suspension
April 18, 2022
GUEST BLOG: Advisor Perspectives - An Interview with Recently Transitioned Advisors by Michael King of Michael King Associates
April 14, 2022
The 90 Year Old Customer, The Trust Account, Merrill Lynch, the Asset Sale, and the Margin Trade
April 7, 2022
SEC Slaps Generic, Non-Specific Whitewash Over Database Scandal
April 6, 2022
FINRA Sued in the Wrong Place At the Wrong Time
April 5, 2022
Stockbroker Wins Expungement of Two Edward Jones Customer Complaints
March 24, 2022
Wells Fargo Promissory Note Case Enters Its Second Decade of Litigation
March 23, 2022
FINRA and SEC Continue Dakota / Zipper Ping Pong Game of Dubious Regulation
March 18, 2022
FINRA Arbitrators Award Over $2 Million In Disputed Customer Transfer and Asset Purchase Agreement
March 8, 2022
Three-Handed Dilemma Grabs NYAG, NYPPEX, Laurence Allen, and FINRA
March 1, 2022
Federal Court Puts A Fork In Schottenstein FINRA Arbitration and Says It's Done
February 25, 2022
FINRA Sanctions Another Morgan Stanley Rep for Commissions Earned Under Joint Production Agreement
February 16, 2022
SEC Director Calls Awkward Football Audible During Wall Street Gamification Bowl
February 14, 2022
FINRA Sanctions Rep for Commissions Earned Under Joint Production Agreement
February 3, 2022
FINRA the Sheriff of Nothing-ham and Robinhood
January 31, 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
California Court of Appeal Retains State Court Jurisdiction of BTIG Employment Retaliation Lawsuit
December 8, 2021
The European-Style Consolatory Cheek Kiss, the UBS Lawsuit, and the Certified Question
December 2, 2021
Appellate Court Affirms $11.5 Million in Damages and Costs in Employment Defamation Case
November 23, 2021
Two of Three FINRA Arbitrators Ironically Disappear In Unexplained Expungement Award
November 16, 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 Find No Evidence For Customers' $10 Million UBS YES Claims
October 26, 2021
Equitable Inadvertence Earns Inequitable FINRA Sanctions
October 25, 2021
There Was Little She Could Do -- So Why Was This BOM's Record Marked Up?
October 20, 2021
After Morgan Stanley Raised Serious Questions in Failed TRO Against Former Employee, The Parties Stipulate to Preliminary Injunction
October 19, 2021
The FINRA Expungement of A Customer Complaint That Was Not a Complaint Or From A Customer
October 11, 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
FINRA Arbitrator Pens Perfect Rationale in UBS Expungement Award
August 23, 2021
Morgan Stanley Raises Serious Questions in Failed TRO Against Former Employee
August 11, 2021
A Free Credit Card Prompts a Costly Expungement
August 5, 2021
FINRA Sanctions CCO/AMLCO Over Microcap Red Flags And Private Placement Disclosures
July 21, 2021
GUEST BLOG: Transitioning to Independence by Michael King of Michael King Associates
July 16, 2021
FINRA Arbitrators Directly Nullify Indirect Non Solicitation Agreement
July 13, 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
Neovest Dissent Pushed Into The SEC Shadows
June 30, 2021
SEC Sanctions Guggenheim Securities For Anti-Whistleblower Confidentiality Agreement
June 28, 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
2Cir Affirms FINRA Arbitrators Award to Jefferies of $1 Million Liquidated Damages For Aborted Employment
June 7, 2021
GUEST BLOG: FINRA Withdraws Proposed Expungement Rule by Nancy L. Hendrickson Esq
June 2, 2021
Three FINRA AWCs and One Mess of an Arbitration Raise Unanswered Questions About Supervision
June 1, 2021
FINRA Arbitrators Cite RBC Investigator's Tactics In Disrespectful Award
May 27, 2021
Whistleblower Gets Screwed But FINRA Doesn't Care
May 24, 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
Federal Court Says Second Amended Complaint Looks Too Much Like First Amended Complaint
May 11, 2021
GUEST BLOG [In]Securities: Mind Games by Aegis Frumento Esq
May 7, 2021
Former Raymond James Rep Wins One and Loses One in Employment Disputes
May 6, 2021
Brokerage Firm's Third-Party Complaint Against Its Former CEO Remanded to FINRA Arbitration
April 27, 2021
Wall Street Compliance Professionals Need FINRA Like A Heart Attack
April 22, 2021
These Foolish Things Remind Me of FINRA
April 14, 2021
Customer Complaints and Away Settlements -- Matters of Interpretation?
April 9, 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 Expungement Was Not Not Warranted But Still Denied
April 5, 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
When An Undisclosed Settlement Gets Disclosed to FINRA
March 29, 2021
Schwab Sued Over Allegedly Malfunctioning Order System
March 23, 2021
11 Cir Sees No Breach of Contract by Ohio National in Variable Annuity Commissions Lawsuit
March 22, 2021
FINRA Charges Operations Professional $5,000 for Sushi
March 17, 2021
High Standards In Low Places on Wall Street
March 5, 2021
Vanguard Compliance Manager Submits Altered and Fabricated Documents to FINRA
March 3, 2021
The Saga of FINRA Versus Kimberly Springsteen-Abbott
March 1, 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
FINRA Expungement Takes on Aspects of a Psychiatric Case
February 2, 2021
Former Merrill Lynch / BOA Employee Wins Dramatic FINRA Expungement
January 29, 2021
GUEST BLOG [In]Securities: A Worried Song By Aegis Frumento Esq
January 22, 2021
GUEST BLOG [In]Securities: No-Hopers, Jokers and Rogues By Aegis Frumento Esq
January 8, 2021
A Business Meal That Wasn't. A Job That's No Longer. A FINRA Regulatory Settlement That Hurts
January 7, 2021
Untimely Disclosure of Tax Liens Upends Chief Compliance Officer Via Statutory Disqualification
January 6, 2021
Did You Hear The One About The Customer Who Sued Because He Didn't Know Insider Trading Was Illegal?
January 5, 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 Says Former Morgan Stanley Advisor's Discrimination Claims Are Time Barred
December 18, 2020
After Midnight It All Hangs Out In Morgan Stanley Arbitration
December 14, 2020
Customer's Annuities Lawsuit Backfires During FINRA Arbitration
December 4, 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
GUEST BLOG: Bill Singer Talks To Industry Recruiter Michael King of Michael King Associates
November 19, 2020
Federal Court Dismisses Challenge to Six Year Old FINRA AWC
November 11, 2020
The Saad Saga Returns to Federal Court
November 9, 2020
California Court of Appeal Holds Its Ground After Rehearing Tilkey v. Allstate
October 28, 2020
Ballad of a FINRA Man
October 15, 2020
Not Enough Bull In Stairway to Heaven
October 7, 2020
Federal Court Confirms Merrill Lynch's Counterclaim Victory In Puerto Rico Bond Arbitration
October 6, 2020
Discovery Misconduct by FINRA Enforcement Prompts Tepid Response from Regulator
September 22, 2020
GUEST BLOG: Bill Singer Talks To Industry Recruiter Michael King of Michael King Associates
September 2, 2020
GUEST BLOG: Bill Singer Talks To Industry Recruiter Ron Edde of Millennium Career Advisors
August 26, 2020
FINRA Arbitrators Find Customer Complaint Made Virtually No Sense During Virtual Hearing
August 19, 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: 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
The Futility of Futility On Display in FINRA Expungement Dispute
July 17, 2020
[In]Securities Guest Blog: Click Boom by Aegis Frumento Esq
July 16, 2020
9Cir Tames Sharemaster After Epic Battles With FINRA and SEC
July 10, 2020
[In]Securities Guest Blog: Good, Bad and Ugly by Aegis Frumento Esq
July 9, 2020
The Walls Came Down Between Research and Investment Banking
July 8, 2020
Hancock Whitney Investment Consultant Stung with Non-Solicit TRO
July 6, 2020
[In]Securities Guest Blog: Freedom Flashing by Aegis Frumento Esq
July 3, 2020
$25,000 E*Trade Pattern Day Trading Minimum Deposit Requirement Challenged in Federal Lawsuit Against FINRA
July 2, 2020
FINRA Settles Untimely Disclosure of Four Felony Charges Without Willfulness Finding
July 1, 2020
Costco Uses Supreme Court's CFPB Ruling to Force Patriotic Americans to Eat Leftist Round Cakes
June 30, 2020
BREAKING NEWS: Seila Law LLC, Petitioner, v. Consumer Financial Protection Bureau (Supreme Court Opinion)
June 29, 2020
UPPER CASE MESSAGES!!! EXCLAMATION POINTS!!! AND A FINRA FINE AND SUSPENSION!!!
June 26, 2020
Supreme Court Says Disgorgement Not Exceeding Wrongful Net Profits Is Permissible Relief
June 23, 2020
Federal Court Confirms FINRA Arbitration Award But With More Words And Explanations
June 22, 2020
Wells Fargo Promissory Note Case Enters Its Eighth Year of Litigation
June 15, 2020
Stockbroker Expungement Grapples With Death and Taxes in Time of Plague
June 5, 2020
Troubling Disconnect and Lack of Appropriate Explanation Found in Scapegoat Defamatory Form U5 FINRA Arbitration
June 1, 2020
Market to Hit New Highs, Shut Down Was An Historic Mistake Says Professor Jeremy Siegel
May 27, 2020
[In]Securities Guest Blog: Dear Prudence by Aegis Frumento Esq
May 21, 2020
Credit Suisse Stockbroker Wins Expungement of Suspicious Customer Complaint
May 20, 2020
[In]Securities Guest Blog: Troubled Water Over the Bridge by Aegis Frumento Esq
May 14, 2020
[In]Securities Guest Blog: Marconi Plays the Mamba by Aegis Frumento Esq
May 7, 2020
FINRA Censures, Fines and Orders Restitution in Suitability Settlement
May 6, 2020
Damages Awarded in Form U5 Defamation Case Against Allstate
April 28, 2020
[In]Securities Guest Blog: Life's for the Living by Aegis Frumento Esq
April 23, 2020
IRA Dispute Offers a Bleak House for Fidelity Stockbroker
April 20, 2020
[In]Securities Guest Blog: In Dreams by Aegis Frumento Esq
March 26, 2020
Citizens Securities Wins TRO in Non-Solicitation Federal Court Action
March 16, 2020
FINRA Arbitrators Deny Success Fee Damages to Underwriter
March 2, 2020
Wells Fargo Settles Criminal and Civil Sales Practices Cases
February 24, 2020
Cannabis Science Case Smokes Definition of Brokerage Customer
February 19, 2020
The Saga of FINRA Versus Kimberly Springsteen-Abbott
February 10, 2020
Oppenheimer Wins FINRA Arbitration Award For Stabilization Compensation
February 4, 2020
FINRA Arbitrator Invokes Ineligibility Sua Sponte To Bar Expungement
February 3, 2020
[In]Securities Guest Blog: Driving That ESOP Trolley by Aegis Frumento Esq
January 23, 2020
[In]Securities Guest Blog: Drunk on a Plane by Aegis Frumento Esq
January 16, 2020
In Today's Securities Industry Commentator
January 15, 2020
[In]Securities Guest Blog: Born to be Wild by Aegis Frumento Esq
January 9, 2020
Cause something is happening and you don't know what it is. Do you, FINRA?
January 8, 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
Fantasy Football Arrives To Wall Street and Freedom Is At Stake
December 30, 2019
Courts Rebuke FINRA and Public Customer Over Arbitration of Settled Dispute
December 20, 2019
Customer Carries 31 Year Old Grudge Into Broker Expungement Case
December 11, 2019
Fee Based Rep Seeks Expungement Over Commissions He Never Charged
December 4, 2019
FINRA Arbitrator Saves Innocent Stockbroker Caught In the Middle By Settled Customer Complaint
December 2, 2019
[In]Securities Guest Blog: Still a Wonderful World by Aegis Frumento Esq
November 27, 2019
Supreme Court to Decide Whether Disgorgement is Penalty or Equitable Relief
November 4, 2019
Claimant's Attorney In ER, Claimant's Wife Gives Birth, but FINRA Arbitrators Won't Postpone Hearing
October 29, 2019
Oral Contract Propels Lynx Capital Into Trading Black Hole
October 28, 2019
SEC Says FINRA Doesn't Have To Sell Cheese At Its Arbitration Shop (or something like that)
October 25, 2019
Featured in Today's Securities Industry Commentator by Bill Singer Esq
October 23, 2019
What's Olde Isn't Necessarily New in the Digital Age
October 22, 2019
Muni Rigor Mortis
October 21, 2019
Does Your Brokerage Contract Bite?
October 9, 2019
FINRA Arbitrators Angered By Raymond James Tactics
September 25, 2019
Citigroup's Cryptic Cryptocurrency Case
September 20, 2019
FINRA Arbitrators Say Who Is On First. I Don't Care. I Don't Give A Darn
September 16, 2019
Court Allows Wells Fargo Stockbroker to Contact Former But Not Current Clients
September 10, 2019
Oops I Did It Again Is No Defense In Second FINRA AWC
September 9, 2019
Morgan Stanley Marks Up Stockbroker's Record Over Annuity Complaint by Customer's Nephew
August 29, 2019
Court Says Morgan Stanley Employee Failed to Opt Out of Arbitration Clause
August 27, 2019
UPDATE: SEC Sustains Saad Sanction Saga
August 26, 2019
Customer Chat with Schwab Chat Representative Prompts FINRA Arbitration
August 7, 2019
FINRA Arbitrators Get Wright Wrong In BB&T Defamation Expungement
August 6, 2019
GUEST BLOG: Sittin' On the Dock by Aegis J. Frumento Esq
July 25, 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
Customer's Wife Rescues Former Edward Jones Broker In Expungement Case
July 10, 2019
Former LPL Stockbroker Suspended and Fined For Customer Borrowing
July 9, 2019
GUEST BLOG: Pursuing America by Aegis Frumento Esq
July 3, 2019
This Is Not A Pipe. This Is Not A Final, Appealable Order
July 1, 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
Court of Appeal Vacates Morgan Stanley Elder Abuse Award in Troubling FINRA Arbitration
June 25, 2019
Pro Se Public Customer and Pro Se Stockbroker Did It Their Way In FINRA Arbitration
June 21, 2019
UBS Stockbroker Seeks Expungement of ARS Claim That Firm Says Wasn't Made
June 14, 2019
FINRA Arbitrator Denies Expungement For Legally Meritless Customer Complaints
June 11, 2019
The Customer Email Order, the Lunchtime Resignation, and The Angry Morgan Keegan Stockbroker
June 10, 2019
Wells Fargo Found Guilty of Defaming Stockbroker for Storing Customer Property
June 3, 2019
GUEST BLOG: Earning It, For Our Brothers In Arms by Aegis Frumento, Esq
May 30, 2019
The Hysterical and Yelling Customer, The Market Crash, and A FINRA Expungement
May 29, 2019
Not His Trade. Not His Fault. But Stockbroker Still Forced Into FINRA Expungement Arbitration
May 28, 2019
GUEST BLOG: FINRA Chokes on a Smoking Ear by Aegis Frumento Esq
May 23, 2019
Something's Happening With A Discrimination Case But You Don't Know What It Is, Do You Mr. Jones?
May 22, 2019
Member Firm Refuses to Produce Settlement Agreement in FINRA Expungement Arbitration
May 20, 2019
Former Morgan Stanley Branch Manager Wins Expungement of Failure to Supervise Claims
May 15, 2019
FINRA Arbitrators Slam JP Morgan Over Defamatory Termination
May 13, 2019
Bottle of White, Bottle of Red, Perhaps An Assisted Living Bond Instead at FINRA Arbitration
May 3, 2019
GUEST BLOG: Acts of Code by Aegis Frumento Esq
May 2, 2019
Was Felon A Frequent Flyer or Flight Risk?
April 22, 2019
Sonny Corleone At the Toll Booth: A Study of a FINRA Email Review Settlement
April 16, 2019
Morgan Stanley Supervisor Goofs But Stockbroker Pays the Price
April 15, 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 Fines and Suspends Rep for Emailing Confidential Info Of 1,696 Plan Participants
April 3, 2019
FINRA Arbitration Asks If Conservative Strategy Was Too Conservative
April 2, 2019
BREAKING STORY: Supreme Court Affirms DC Circuit on Lorenzo v. SEC
March 27, 2019
Former Vanguard Employee Terminated For "Work Avoidance" Fails To Show At His Expungement Hearing
March 26, 2019
FINRA Settlement Not Fussing And Fighting But Working It Out
March 25, 2019
Edelman Financial Services Loses Non-Solicit Non-Disparagement Case
March 22, 2019
Good Intentions Pave Merrill Lynch Stockbroker's Retirement Highway to Hell
March 15, 2019
Pro Se Stockbroker Wins FINRA Expungement of Merrill Lynch Settled Customer Complaint
March 6, 2019
Wells Fargo Promissory Note Victory Goes From FINRA Sublime to SEC Ridiculous
March 4, 2019
FINRA Arbitrators Award Over $569,000 In Damages For In And Out Transfers
February 22, 2019
Stockbroker Infallibility Too High A Bar Says FINRA Arbitrator
February 15, 2019
Lord Voldemort, Bank of America, Merrill Lynch, FINRA, And Childcare Expenses
February 13, 2019
Former National Securities Corp President/CEO Sues Firm In FINRA Expungement Case
February 12, 2019
Abandoned Car Wreck of Public Customer FINRA Arbitration
February 5, 2019
Financial Elder Abuse Claims Against Morgan Stanley Die A Tortured Death
January 30, 2019
Unsettled Settlement of Managed Account Goof Prompts FINRA Expungement
January 29, 2019
Innocent Stockbroker Lost in Never-Neverland Wins FINRA Expungement
January 28, 2019
BREAKING NEWS: Roger Stone Jr. Indicted on Obstruction, False Statements, and Witness Tampering
January 25, 2019
GUEST BLOG: Who Run the World? by Aegis Frumento Esq
January 24, 2019
Expungement Ten Years in the Making For Merrill Lynch Stockbroker
January 22, 2019
FINRA Gets Email Snafu Right But Its Regulatory Role Wrong
January 15, 2019
The Preemptive EFL Gambit Starts Anew On 2019 FINRA Arbitration Chessboard
January 8, 2019
Morgan Stanley and Wells Fargo Tackled for Big Loss in $7.7 million FINRA Arbitration
December 28, 2018
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
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
Stockbroker Plays Hide And Seek With FINRA
November 30, 2018
FINRA Arbitrator Sanctions No-Show Public Customer Lawyer
November 26, 2018
Stockbroker Wins Expungements of Decade Old Customer Complaints
November 20, 2018
Competitively Different Cambridge Loses Culturally Unique FINRA Block Trade Arbitration
November 19, 2018
Stockbroker Victimized By Mother In Law Complaint About Stolen Funds
November 16, 2018
Legend-ary FINRA Public Customer Arbitration
November 14, 2018
FINRA Bars Analyst For Biting Off More Than She Could Chew
November 13, 2018
Stockbroker Told to Provide Personal Email Account Password to Employer
November 12, 2018
In Memoriam: 12 Dead at Thousand Oaks, California
November 9, 2018
GUEST BLOG: A Pulitzer Prize for Risk Disclosures? by Aegis J. Frumento Esq
November 8, 2018
Customer Withdrawals and Vacations At Heart of Stockbroker Expungement
November 6, 2018
Gregor Samsa Awakes As A FINRA Unnamed Party
November 2, 2018
GUEST BLOG: Here Be Dragons by Aegis Frumento Esq
November 1, 2018
In Memoriam: 11 Dead In Shooting at Pittsburgh Synagogue
October 29, 2018
GUEST BLOG: FINRA Dictator of Dispute Resolution by Dochtor Kennedy, Esq
October 24, 2018
Ameritas Stockbroker Wins Snowball In Hell Expungement
October 22, 2018
Psst . . . Here's a $10,000 Settlement Check But Don't Cash It
October 19, 2018
Don't Speak: The New Motto of Wall Street Compliance and Regulation
October 15, 2018
Customer Seeks $2 Million In Puerto Rico Bond Arbitration
October 12, 2018
GUEST BLOG: The Invisibly Vulnerable Pre-Retirees by Aegis Frumento
October 11, 2018
Morgan Stanley Customer Sues Over Forced Stop Loss
October 10, 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
Merrill Lynch Rep Wins Expungement of Decade Old Customer Complaint
October 2, 2018
LPL Stockbroker Wins FINRA Expungement Despite Six Figure Customer Settlement
October 1, 2018
Stockbroker Pays Undisclosed Customer Settlement But It All Explodes Anyway
September 26, 2018
Public Customer, Brokers, and Brokerage Firm Spit Nails, Eat Lightning, and Crap Thunder
September 24, 2018
Deutsche Bank Securities Hit With $2 Million Award in FINRA Expungement Case
September 14, 2018
GUEST BLOG: How the SEC Would Run (and Ruin) Your Firm by Aegis Frumento Esq
September 13, 2018
RBC Stockbroker Wins Expungement of ARS Complaints
September 12, 2018
Stockbroker An Unintended Bystander Victim In Drive-By Customer Complaint
September 10, 2018
Oops I Did It Again, Again in FINRA Public Customer Arbitration
September 7, 2018
FINRA Arbitrators Admit FINRA SEC Regulatory Settlements In UBS Puerto Rico Case
September 4, 2018
Ya Hear The One About The Stockbroker Who Listened to Idiots and Never Got His Record Expunged?
August 27, 2018
Disparaging a FINRA Disparagement Arbitration
August 21, 2018
Open Letter to FINRA CEO Robert Cook, Chair Bill Heyman, and Board of Governors
August 15, 2018
Breathtaking Dissent In Industry Arbitration Asks Court To Sanction FINRA
August 14, 2018
Mean Spirited FINRA Must Respect Membership Median
August 10, 2018
GUEST BLOG: Securities Fraud? Or Just Bullshit? by Aegis Frumento, Esq
August 7, 2018
Memory Sinks Customer In CD and CMO FINRA Arbitration
August 1, 2018
The 93 Year Old Customer with Dementia, The Guardian, The Stockbroker, and the Compliance Officer
July 30, 2018
FINRA Arbitrators Slam Wells Fargo With $8.5 Million Puerto Rico Bond Award
July 25, 2018
FINRA Arbitrator Pens Expungement Decision Perfection
July 24, 2018
UPDATE:Non-Attorney Representatives Involved In FINRA Arbitration Blight
July 23, 2018
Morgan Stanley Customer Sues Over Dormant Account Charges
July 20, 2018
Crowdfunding Portal StartEngine Loses Customer Arbitration
July 16, 2018
5% Solution In FINRA Expungement Arbitration
July 13, 2018
Travelin' Man Comes To End of Wall Street Line
July 11, 2018
Stockbrokers Victimized by Customer Imposter and FINRA Fees and Charges
July 10, 2018
Morgan Stanley Broker Wins Expungement After Firm Settled With Customer
July 9, 2018
Customer and Brokerage Firm Agree: I Wuz Robbed!
July 1, 2018
The Double Edged Sword of Facts And A FINRA Expungement
June 28, 2018
Variable Annuities And Wall Street's Jurassic World
June 25, 2018
BREAKING NEWS: Lucia v. SEC / Supreme Court Finds SEC ALJs Unconstitutional
June 21, 2018
Zipper Plays Sisyphus to FINRA's Zeus
June 21, 2018
Is FINRA Sleepwalking Through Member Firm Examinations?
June 20, 2018
Becoming Yourself on Wall Street: Josh Brown and Alexander Palumbo
June 19, 2018
Power Play Short Circuits Broker's Career
June 18, 2018
Feuding Stockbrokers Set Stage for Expungement of Cookie Cutter Customer Complaints
June 1, 2018
As the FINRA WORM Turns
May 25, 2018
Batting 500 In FINRA Expungement
May 23, 2018
The Disqualified Stalking Felon Stockbroker, The Texting Stockbroker, The Missouri Waltz, and FINRA
May 17, 2018
No Show No Way No How Public Customer FINRA Arbitration
May 15, 2018
FINRA Arbitrator Recommends Multiple Expungements for Veteran Stockbroker
May 14, 2018
Was That Stockbroker's Customer Blowing Steam Or Making a Complaint?
May 11, 2018
Money For Nothing Leaves Stockbroker in Dire Straits With FINRA
May 9, 2018
Sharemaster the Beastmaster Tames FINRA and SEC in PCAOB Dispute
May 7, 2018
FINRA Hardship Waiver Hard To Find
May 4, 2018
Pro Se Employee Eviscerated in FINRA Employment Expungement Arbitration
May 3, 2018
You Hear The One About The FINRA Arbitration Involving The Stockbroker With 36 BrokerCheck Disclosures?
April 26, 2018
Former Ameriprise Rep Wins Split Decision In FINRA Arbitration
April 25, 2018
FINRA Arbitrators Dissolve RIA / BD Lacking Operating Agreement
April 24, 2018
FINRA Death Cab for an Un-Fare Email Cutie
April 23, 2018
Pyrrhus, Battle of Asculum, a Stockbroker, FINRA, and a Pyrrhic Expungement Victory
April 19, 2018
My Way Rules In Pro Se Expungement Case Against J.P. Morgan
April 17, 2018
Stormy Daniels Issue Hits FINRA Arbitration Remand
April 4, 2018
Body and Estate and Soul and a Counterfeiter and a Murderer and Merrill Lynch
March 28, 2018
Merrill Lynch Wins Puerto Rico Bond Arbitration Via Counterclaim
March 23, 2018
Branch Office Agreement At Heart of Industry Arbitration
March 21, 2018
BREAKING NEWS: Supreme Court Says State Courts May Hear Securities Class Actions
March 20, 2018
FINRA Arbitrators Deem CRD / U5 Disclosures Defamatory
March 19, 2018
UPDATE: Stockbroker Barred For Abusive Conduct Deemed Threat to Public and Industry
March 15, 2018
No Winners In FINRA Customer Arbitration
March 14, 2018
Disturbing FINRA Settlement Involving Elderly Client With Dementia
March 13, 2018
CCO Fined and Suspended For Amending Her Own U5
March 8, 2018
In the Year 2525 If FINRA Arbitration Is Still Alive
March 6, 2018
Citi Hit With Over $4 Million Award In Wrongful Termination Arbitration
March 5, 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
Customer Appeals Wells Fargo Arbitration Loss To Federal Court
February 21, 2018
Pro Se Former Nationwide Employee Wins $1 And CRD Expungement
February 20, 2018
In Memoriam: Marjory Stoneman Douglas High School, Parkland, Florida.
February 15, 2018
Days Late and Dollars Short For Former Oppenheimer Employee
February 14, 2018
Rankles Raised In FINRA Expungement
February 8, 2018
SEC Zaps Zipper's Second Stay Request
February 7, 2018
FINRA Stuffs Stifel's Trading Ahead Exemptions
February 2, 2018
Ameriprise and Former Rep Battle It Out Over EFL and Defamation
February 1, 2018
Defined Benefit Pension Plan Dispute Taxes Stockbrokers and Brokerage Firms
January 30, 2018
FINRA Fines Firm Over Research Reports Practices
January 26, 2018
Abuse And Harassment On Wall Street
January 25, 2018
Stockbroker Expunges 7 Year Old UBS Customer Suitability Complaint
January 24, 2018
FINRA Sanctions Charitable Remainder Trust Pitch
January 22, 2018
UBS Complex Director Wins Margin Call Battle
January 19, 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
FINRA Arbitrators Award $140,000 In Employee Defamation Case
January 11, 2018
Rep Emails Self 1,300 Account Numbers And FINRA Comes A Knockin'
January 9, 2018
FINRA's $10,000 Expungement Price-Tag To Clear A Victim's Name
January 5, 2018
FINRA Horse With No Name Named
January 2, 2018
FINRA Arbitrator Recommends Expungement of Three Customer Complaints
December 29, 2017
FINRA Wrestles With No Debt False Statement Versus Untrue One
December 28, 2017
FINRA Expungement Arbitration Shows Failed System
December 27, 2017
The Dead Father, Feuding Kids, Stockbroker In The Middle, and the Lawsuit
December 26, 2017
Arbitrators OK Raymond James Liquidation of JTWROS Account for Broker Husband's Loan
December 21, 2017
A Little Bit of FINRA Hypocrisy For $20,000
December 19, 2017
FINRA Arbitrator Holds Public Customer Claimant In Contempt
December 13, 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
The FINRA Auction Market for Regulatory Fines and Suspensions
December 7, 2017
FINRA Arbitrator Gets By With A Little Help of A Friend
November 30, 2017
UPDATE: SEC Says No Mulligans For FINRA Settlements
November 29, 2017
Spoofing Email Sends Payment To Minneapolis, Shanghai, and Bremen
November 21, 2017
Clever Stipulation In FINRA Expungement Arbitration
November 17, 2017
Merrill Lynch Employee Fined and Suspended for Business Meals by FINRA
November 14, 2017
California Denies Expungement of NASD and Ohio Regulatory Disclosures
November 13, 2017
Federal Appeals Court Deems FINRA Deputy of the Federal Government
November 6, 2017
Was That Customer Email a Discussion, Grievance, or Complaint?
November 2, 2017
FINRA Settlement Is A Matter of Time And Price
October 31, 2017
$3 Million Awarded In UBS FINRA Employment Dispute
October 30, 2017
Delayed Resignation,Twitter,and Email Get Stockbroker Fined and Suspended
October 26, 2017
Absurd Unexplained Public Customer FINRA Arbitration Decision
October 20, 2017
Brokerage Customer Says That What Looks Like A Complaint Wasn't So Intended
October 19, 2017
Dazed and Confused by FINRA Private Securities Transaction Rule
October 17, 2017
SEC Saad Saga Still Slogs Still Sags
October 16, 2017
Former JP Morgan Employee Represents Himself in Paternity Leave Case
October 12, 2017
FINRA Borrowing Settlement Involves Friendly 96 Year Old Customer
October 4, 2017
SEC Says No Mulligans For FINRA Settlements
October 3, 2017
Child Endangerment Defendant Barred By FINRA
September 28, 2017
TD Ameritrade Acquires Scottrade Subject To Outdated NASD Rules
September 21, 2017
FINRA Arbitrator Unimpeded By Defaulting Brokerage Firm
September 13, 2017
RBC Stockbroker Father Died and His Son Inherits Unhappy Customer
September 12, 2017
Stockbroker Refunds Commissions To Unhappy Morgan Stanley Customer
September 11, 2017
UPDATE: Merrill Lynch FINOP Cited By SEC for Unprecedented Violations
September 1, 2017
PNC Loses Wrongful Termination FINRA Arbitration
September 1, 2017
FINRA Arbitrators Rewrite Wells Fargo Termination Language
August 31, 2017
Weight Management Company Weighs Heavily on Stockbroker's Career
August 29, 2017
What's the Frequency FINRA?
August 25, 2017
Sewage Release By Wall Street Regulators
August 24, 2017
Newman and Salman Come Into Play With Conradt Appeal
August 23, 2017
Childbirth and Medical Emergency Impact FINRA Arbitration
August 14, 2017
$5.5 Million Power of Attorney Doctor Sees Dead Lawyers
August 11, 2017
2Cir Affirms Icahn Victory In Options Disgorgement Case
August 4, 2017
Chia Hair Plugs and 100% Principal Protected Lehman Brothers Notes
August 3, 2017
Employee Wins Over $1 Million In Fraudulent Inducement Hiring Case
July 28, 2017
A FINRA JP Morgan Arbitration,Jamie Dimon's Embarrassment and Bill Singer's Apoplexy
July 21, 2017
Elder Abuse Allegations Arise In Wedbush Arbitration
July 20, 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
HSBC Securities Settlement Raises Questions About FINRA Examinations
July 5, 2017
Rep Wins Expungement of 11 Year Old Complaint At Defunct Brokerage Firm
June 29, 2017
SEC Settlement Cites Trading Ahead of Research
June 27, 2017
BREAKING NEWS: Supreme Court Affirms 3 Year Limit in CalPERS v. ANZ
June 26, 2017
Market Fragility and Interconnectedness
June 23, 2017
UPDATE: Potentially Dubious Flexible Rescheduling Of SEC Hearing And Awry,Alaska Cruise
June 14, 2017
FINRA's Foolish Inconsistency
June 9, 2017
BREAKING NEWS: SEC Loses Supreme Court Kokesh Disgorgement Case
June 5, 2017
Bill Singer Submits Rare FINRA Comment
June 1, 2017
FBI Agent Josh and Where's Waldo? Where's OWB?
May 26, 2017
FINRA's Willy Nilly Tax Lien Settlements
May 25, 2017
Potentially Dubious Flexible Rescheduling of SEC Hearing
May 19, 2017
Tell Me Why: Unanswered Questions In FINRA Expungement
May 17, 2017
Customer Loses $6.6 Million VirnetX Case Against JP Morgan
May 11, 2017
PNC Employee Wins $1.8 Million Wrongful Termination Award
May 2, 2017
Stockbroker Expunges Complaint About Profitable Investment
May 1, 2017
GUEST BLOG: Are Decepticons Duplicitous? by Stephen Kohn
April 28, 2017
FINRA's Three Handed Monster of a Settlement
April 25, 2017
Merrill Lynch Employee Flies First Class After Mystery Man Misuses Corporate Card
April 21, 2017
FINRA Settles With Advisor Who Acted as POA and Health Surrogate
April 18, 2017
Citigroup, Its Former Employee, A Breached Contract, Six Blind Men, One Elephant, and FINRA Arbitration
April 17, 2017
FINRA Arbitrators Find Everyone At Fault In Customer Case
April 14, 2017
Decepticons Invade FINRA As Nationwide Email Program Reload Fails
April 10, 2017
Casino Bets Fade Investors Retirement Savings
April 5, 2017
Edward Jones Customer Fully, Finally, and Forever Settles But Wants A Second Bite
April 4, 2017
Broker Wins Expungement of Deceased Customer's 13-Year-Old Complaint
April 3, 2017
Stockbroker Barred For Abusive Conduct Deemed Threat to Public and Industry
March 30, 2017
Expunging Customer Dispute Information Under FINRA Rule 2080
March 29, 2017
Where There's Willfulness There's No Way At FINRA
March 28, 2017
Bill Singer Analyzes FINRA Expungement Rules 2080 and 2081
March 27, 2017
Warp Speed Dismissal in Lightspeed Trading Arbitration
March 24, 2017
Inconsistent FINRA Findings of Willful Nondisclosure Persist
March 13, 2017
Life Insurance, Wife Insurance, and FINRA Life Settlement Regulation
March 9, 2017
FINRA Sanctions Emailing of Private Consumer Info
March 2, 2017
Investment Adviser Charged With Fake Withdrawals and Forgeries
February 22, 2017
FINRA Expungement Arbitration Is A Tale Told By An Idiot
February 21, 2017
Sharemaster, Howard Feigenbaum and Johnny Burris Battle Wall Street's Goliaths
February 20, 2017
Sharemaster Becomes the Beastmaster of FINRA and SEC
February 17, 2017
Hidden Warning In SEC Corporate Disclosure Defaults
February 16, 2017
Merrill Lynch FINOP Cited By SEC for Unprecedented Violations
February 15, 2017
The Will, Disabled Aunt, Stepkids, Executor Nieces, And Stockbroker
February 14, 2017
Is SEC Cherry Picking Case Nit Picking Depositions?
February 13, 2017
NASD Charges Member For Pursuing Research Biz. Or Was That FINRA?
February 9, 2017
Google Subpoena Withdrawn in Brummer v. Wey Defamation Case
February 7, 2017
Subpoena Served on Google in Brummer v. Wey Defamation Case
January 31, 2017
FINRA Arbitration Saga Of the Unnamed and Unheard Lands in Federal Court
January 27, 2017
Stockbroker Back Dated Audited Partnership Agreements For Tax Preparer Clients
January 23, 2017
Federal Appeals Court Does Not See Fraud By Hindsight
January 20, 2017
SEC Fines BlackRock For Financial Disincentive Provision For Whistleblowers
January 17, 2017
SEC Settles 3 RIA Referral Fees Cases
January 11, 2017
SEC Opts For Intercircuit Nonacquiescence
January 9, 2017
UPDATE: Scottsdale Sues FINRA In Edgy Effort To Halt Disciplinary Case
December 27, 2016
FBI Director Comey Offers Wall Street Lawyer Bill Singer Hitch Free US$8 Million
December 23, 2016
FINRA Panel Sides With Zions Direct In Employee Bidding Policy Wrongful Termination Case
December 22, 2016
Edward Jones Discriminated Against Female Employee
December 14, 2016
Two Bit Explanation In $4 Million Morgan Stanley Employment Arbitration
December 13, 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
Former Wells Fargo Rep Shocks Firm With Her Stunning Arbitration Win
November 21, 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
Trade Error Haunts Stockbroker
November 8, 2016
Dementia At Issue In Wells Fargo Arbitration
November 2, 2016
Wage Garnishments Are FINRA Smoke Signals
November 1, 2016
SEC Sends Second Valentine Message Not Filled With Love
October 28, 2016
Imposter Plays Flag Football With Broker Dealer Wire Transfer
October 25, 2016
The Chief Compliance Officer, The Taxman, And FINRA
October 24, 2016
Majestic FINRA Customer Arbitration Decision Grapples With Non Lawyer Role
October 21, 2016
Merrill Lynch KO'd In $1.6 Million Note Arbitration
October 18, 2016
Veteran Wall Street Critic Bill Singer Slams FINRA Expungement Process
October 17, 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
Schwab Sues Customer In Stock Options Dispute
October 10, 2016
Lo And Behold: Wells Fargo Claws Back Manager Compensation
October 5, 2016
Texas State Senator Rodney Ellis Wins FINRA Employment Arbitration
October 4, 2016
NY Life Rep Crosses Arbitration Rubicon With Expungement Case
September 28, 2016
Sportspicks.com Founder Loses FINRA Regulatory Wager
September 27, 2016
UPDATE: SEC Settlement Gives Respondent 168 Years To Pay
September 26, 2016
Defamed PNC Employee Wins Dramatic Expungement
September 20, 2016
PNC and Wells Fargo Stockbroker Wins Customer Complaints Expungement
September 19, 2016
Former Schwab Stockbroker Obliterates Firm In Wrongful Solicitation Case
September 14, 2016
The Best Offense Is A Good Defense
September 9, 2016
SEC Begins Sexual Healing of Public Relations Sex Machine
September 8, 2016
Fired Nationwide Rep Wins FINRA Expungement
September 7, 2016
California Court of Appeal Says FINRA Expungement Hearing Unfair
September 1, 2016
Compliance Is A Sentence, Not A Word
August 26, 2016
FINRA Arbitration Soccer Match Ends With Penalty Kicks
August 24, 2016
Janus Distributors Slammed In Employment Termination Arbitration
August 16, 2016
Non-FINRA Employment-Loan Lender Ordered to Arbitration By NYS Appellate Court
August 12, 2016
BREAKING NEWS: 2 Circuit Denies Criminal Expungement
August 11, 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
Morgan Stanley Humiliated in $10 Million Employee Loan Arbitration
August 5, 2016
Citigroup Investment Banker Punished by FINRA for Good Deeds?
August 3, 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
Ex-Wife, Deceased Father, Executrix Daughter, Retirement Account, and Annuity
July 19, 2016
Secret Customer Settlement Gets Stockbroker Fined and Suspended
July 13, 2016
The Husband's IRA, The Ex-Wife, The Forgeries, The Withdrawals, And The Lawsuit
June 23, 2016
Take What You Have Gathered From Coincidence In Oral Advisory Fee Agreement
June 22, 2016
IRS Says FINRA Schrodinger Cat Has Three Lives
June 16, 2016
Fraudster Got 300 Months In Prison But Still Frustrates the SEC
June 8, 2016
FINRA Publishes Mitigation Statement in Elderly Client Conversion Case
May 23, 2016
Americans for Financial Reform Protest Forced Consumer Arbitration
May 18, 2016
BREAKING NEWS: Supreme Court Rules On Manning v. Merrill Lynch
May 16, 2016
FINRA Wins Scottsdale Capital Advisors Motion to Dismiss
May 9, 2016
Mom, Sister-In-Law, Two Brothers, and Stock Proceeds
May 6, 2016
Half Baked Apple REIT Case Dismissed Against David Lerner Associates
May 5, 2016
E*Trade Employee Wins Form U5 Expungement
April 14, 2016
FINRA Arbitrators Deal With Vague And Ambiguous Employment Agreements
April 1, 2016
Scottsdale Sues FINRA In Edgy Effort To Halt Disciplinary Case
March 28, 2016
UPDATE: Net Capital Violations Become Federal Criminal Case
March 23, 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
Chief Compliance Officer Fined and Suspended For Failed Email Review
March 4, 2016
SEC Cites Stockbroker Over Confidentiality of Inherited Accounts
March 2, 2016
Stockbroker Fined and Suspended for Impersonating Mother, Wife, and Cousin
February 22, 2016
UPDATE:Brokerage CEO Sentenced to Prison in Net Capital Case
February 19, 2016
SEC Settlement Gives Respondent 168 Years To Pay
February 17, 2016
US Bancorp Investments Employment Dispute Ends With Mixed Result
February 11, 2016
UPDATE: Pro Se Respondent Battles SEC to Standstill
February 10, 2016
FINRA Statement of Corrective Action Defamation Lawsuit Slams Brokerage Firm
February 5, 2016
FULL TEXT Barclays and Credit Suisse SEC Dark Pools Settlement
February 2, 2016
FINRA Email AWC Raises Question About Regulatory Hypocrisy
January 29, 2016
Pro Se Respondent Battles SEC Bar To Standstill
January 20, 2016
Stockbroker Alters Customer Phone Numbers and Email Addresses
January 14, 2016
Rude And Divisive Barclays Employee Loses Note Case
January 8, 2016
Did Registered Rep Voluntarily Quit Or Was She Fired? Arbitrator Says Neither.
January 4, 2016
Lord Voldemort, Merrill Lynch, Bank of America, and FINRA
December 30, 2015
Merrill Lynch Stockbroker Beats Wells Fargo In Employment Dispute
December 23, 2015
Merchant Suckers, Whore, and Little Bitch In FINRA Arbitration
December 16, 2015
The Merrill Lynch Stockbroker, the Deceased Mom, Her Son, And Transfer On Death
December 14, 2015
FINRA Jurisdiction Over Insurance Agent Activity Challenged In SEC Appeal
December 9, 2015
That Customer Complaint May Not Be A FINRA Reportable Event
December 4, 2015
The SEC Fears The Email Privacy Act
December 3, 2015
Yabba Dabba Doo In Unbeknowst FINRA Embezzlement AWC
December 2, 2015
Former Allianz Rep Sues To Clear Her Name In War Over Expenses
November 23, 2015
Mutual Funds and Annuity Disputes Fuel Customers FINRA Arbitration
November 20, 2015
Stockbroker Fined And Suspended In Email Transfer of Customer Info From Merrill To Ed Jones
November 18, 2015
CASE IN POINT Video Interview with host BILL SINGER and guest Brittany Weiner, Esq.
November 17, 2015
$4.6 Million Elderly Ponzi Shell Game Ends With SEC Settlement
November 16, 2015
Net Capital Violations Become Federal Criminal Case
November 12, 2015
Echoes of A Stockbroker's Mind For A Hacker On A Wire
November 9, 2015
Compliance Advisor Fined and Suspended For Falsifying Data
November 2, 2015
Down-Low Download Of Contact Information Sends Stockbroker Offline
October 28, 2015
Brokerage Customer Sues Because X Minus X Equals Zero
October 26, 2015
FINRA Hearing Panel Dismisses Private Offering Case
October 16, 2015
Sad Saad Saga Sought Second SRO / SEC Shot
October 15, 2015
CASE IN POINT with Bill Singer Premieres Today. EMPLOYMENT TUESDAY at BrokeAndBroker.com
October 13, 2015
Morgan Stanley Client Service Associate Trips Over Wire Request
October 8, 2015
UPDATE: Federal Appeals Court Reverses Goldman Sachs Arbitration
October 2, 2015
Another Wall Street Fall Girl Takes A FINRA Flop
September 25, 2015
Walking Through the FINRA Expungement Process
September 24, 2015
Morgan Stanley Gives Employees Arbitration Choice: Say Nothing And You're Enrolled
September 23, 2015
Ameriprise Inexplicably Loses Promissory Note Case
September 21, 2015
HSBC Stares Into The Eye of the Tiger And Blinks
September 18, 2015
Stockbroker Pleads To Misdemeanor But Fails To Disclose Felony Charge
September 17, 2015
FINRA Fines UBS Over Bloomberg Messages
September 16, 2015
Stockbroker Exonerated After Nephews and Niece Accuse Her of UTMA Fraud
September 11, 2015
FULL TEXT DOJ Individual Accountability Memo ONLINE at BrokeAndBroker.com
September 10, 2015
Stockbroker Wins Expungement Over Annuities
September 4, 2015
FBI Warns About Business Email
September 2, 2015
Unregistered Activity Proves Katalyst For FINRA Settlement
August 31, 2015
Stockbroker Wins Customer Expungement Arbitration
August 21, 2015
Software Glitch Overwhelms Firm's Email Review
July 23, 2015
Major Fine Slams FINRA Firm For Supervisory Violations
July 22, 2015
Website, Social Media, Fees,and Email Fall Off Compliance Officer's Radar
July 20, 2015
BREAKING NEWS: Supreme Court Rules On Gay Marriage
June 26, 2015
BREAKING NEWS: Supreme Court Issues Historic Obamacare Opinion
June 25, 2015
Honor System Fails In FINRA Email Settlement
June 25, 2015
Time Has Come Today In Stockbroker Expungement
June 24, 2015
SEC Risk Alert Announces Retail Retirement Examinations
June 22, 2015
Wall Street Sales Assistant Scams 3 Years of Reimbursed Expenses
June 19, 2015
UPDATE: SEC Derails Scam Train On Trading Platform
June 15, 2015
FINRA Says You've Got A Friend, Fine, and Suspension
June 12, 2015
Failed Email Review Offers Example Of Hidden Compliance Costs
June 5, 2015
A Brief History of FINRA ETF Time
June 4, 2015
What Would Hillary Do? FINRA Cites AOL Email Account And Gold / Bank Investments
May 27, 2015
BREAKING NEWS: Supreme Court Rules on 401(k) Plan Prudent Management
May 18, 2015
Stockbroker Fined and Suspended For Sending Customer Data To New Firm
May 18, 2015
Wells Fargo Defrauded By Online Dating Check Scam
May 7, 2015
FINRA Moves to Dismiss Spoliation Claims
May 5, 2015
BREAKING NEWS: Supreme Court Vacates And Remands Mach Mining EEOC Case
April 29, 2015
FINRA Arbitrators Expunge Customer Settlement Contribution From Merrill Lynch Broker
April 22, 2015
US Attorney and SEC Charge Investment Advisor In $20 Million Fraud
April 17, 2015
SEC ALJ Corrects Dollars And Dates But Not Derision
April 15, 2015
SEC Derails Scam Train On Trading Platform
April 13, 2015
optionsXpress Out Of Email Options
March 26, 2015
BREAKING NEWS Supreme Court Vacates / Remands Omnicare Registration Statement Case
March 24, 2015
The Amazing Mobius Strip Of Wall Street Regulation
March 18, 2015
SEC Declines To Stay FINRA Bars Pending Appeal
March 11, 2015
Stockbroker Sues Non Customer Customer Over Unproven Promissory Note
March 9, 2015
Former Hartford Securities Rep Demands Over $10 Million In Damages
March 5, 2015
Supreme Court Asks If A Fish Is Always A Fish Or Sometimes A Computer Hard Drive
February 26, 2015
Broker Wins FINRA Arbitration Expungement
February 20, 2015
UBS Stockbroker Expungement in Lehman Bond Case
February 6, 2015
Wells Fargo Associate Duped By Email Scam
January 28, 2015
FINRA Email Settlement Raises More Questions Than Answers
January 8, 2015
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