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Topic List for H (1098 results)
It's All Over Now: My 42-year Wall Street Journey by Bill Singer, Esq.
January 30, 2024
UPDATE: The SEC's Netflix/Reed Hastings Policy and @GaryGensler and @SECGov and the SIM Swap Hack
January 23, 2024
SEC's X Account Compromised Via Phone Number and Lack of Two-Factor Authentication
January 10, 2024
FINRA Bars Its Arbitration Forum to TDA Customer Citing Unspecified Risks of Health And Safety
January 4, 2024
Former Merrill Lynch Rep Stuck In FINRA Arbitration Expungement Turnstile
January 3, 2024
D.A Davidson Wins Unjust Enrichment Arbitration Against Ghost of Christmas Present Former Employee
December 14, 2023
SEC Sustains in Part and Remands FINRA Case Against Southeast Investments and President Black
December 8, 2023
UPDATE: Federal Court Confirms Multi-Million Dollar FINRA Arbitration Award for Charles Schwab Against Morgan Stanley
November 6, 2023
Quantum Physics and FINRA's Inability to Tally the Votes of Its Board Elections
November 2, 2023
Will Schwab Sink or Swim with ThinkOrSwim?
October 30, 2023
Former Rep Sues for Compensation After Involuntary Termination
October 23, 2023
The Frustrations And Atrocities Experienced by Merrill Lynch Customers
October 12, 2023
Wall Street Regulators Provide Express Check-Out Line for Goldman Sachs
September 26, 2023
Two Towering Dissents Against CFTC Order Involving Goldman Sachs
September 1, 2023
UPDATE: Bill Singer, Esq. Files Form TCR with SEC Seeking Investigation of FINRA Election Interference
August 29, 2023
FINRA Fines and Suspends NRF for Having Access to Cell Phone at Home
August 23, 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
The FINRA Crypto Hub-bub and William of Ockham
August 7, 2023
FINRA Can't Quite Put a Name On It: Perjury or False Testimony or Misleading Testimony
July 31, 2023
SEC Chief Accountant Lays a Cobblestone on the Road to Hell Paved with Good Intentions
July 28, 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
Federal Court Says Mere Email Noting Change of Employment Does Not Arise to Solicitation
July 18, 2023
Grandchildren Should Have Bought Decoder Ring to Decipher FINRA Arbitration Award
July 17, 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
Bill Singer Calls for Boycott of 2023 FINRA Elections
June 16, 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
Branch Manager and FINRA Fail to See Red Flags of Unsuitability Involving Senior Customers
June 6, 2023
Physically Delivering Digital Assets In Order To Satisfy CFTC's Observation
June 5, 2023
FINRA Took Wells Fargo Stockbroker Outback to a Bar and SEC Says It's The Last Round
June 1, 2023
SEC Orders FINRA to Raise Its Arbitration Forum Gate For Expungements
May 30, 2023
Questioning if Alleged Harm Was Irreparable, Federal Court Denies TRO
May 23, 2023
FINRA Board of Governors Fails to Confront Goldman Sachs $215 Million Gender Discrimination Settlement
May 10, 2023
A Call for Boycott: FINRA Board of Governors' Cowardly Silence Becomes Thunderous
May 1, 2023
The Six-Year FINRA and SEC Regulatory Saga of Craig Scott Capital
April 26, 2023
FINRA Arbitrators Checkmate SunTrust With Punitive Damages for Misuse of Rep's Name and Picture
April 24, 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
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
FINRA Arbitrators Award Damages Against Morgan Stanley In Case Alleging Customer Lacked Mental Capacity
April 11, 2023
Pro Se Registered Respondent A No Show At Arbitration Involving Cambridge Capital Group
April 10, 2023
In 2023 FINRA Settles With Goldman Sachs Over Mismarked Short Sales Dating Back to 2015
April 5, 2023
FINRA Arbitration Award Gives Us A Case of Gas From Chipotle Bean Burrito Puts
April 3, 2023
FINRA Doesn't Bank On It When It Comes To Wife Of Former UBS Employee
March 27, 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
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
SEC No Longer Believable When It Comes To Whistleblower Award Denials
March 2, 2023
Federal Court Deems FINRA Absolutely Immune in Expungement Lawsuit
February 28, 2023
4Cir Remands SEC's Case To District Court For Some Old Fashioned Jury Muddling
February 27, 2023
Lira v. Edward Jones: An Ironic and Cynical Tale of Alleged Discrimination, Harassment, and Retaliation
February 9, 2023
FINRA Arbitrators Award Customer $144,000 Against Charles Schwab Amid Allegation of Flawed Investment Recommendations
February 8, 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
Federal Appellate Court Affirms Dismissal of Wells Fargo and FINRA
January 30, 2023
Bill Singer Slams Garbage Regulation on Wall Street
January 25, 2023
Transfer of AMC Shares From Webull Financial to Fidelity Becomes Unfunny Comedy of Errors
January 13, 2023
FINRA NAC Fines and Suspends Rep For Paying Commissions to an Unregistered Person
January 10, 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
Removal of FINRA Arbitrator Cited by Schwab and Interactive Brokers in HFT Customer Dispute
January 3, 2023
FINRA Can't Wait Forever Even Though Morgan Stanley Wants It To
December 27, 2022
TD Ameritrade Customer Sues Over Alleged Wrongful Margin Sell-Out
December 22, 2022
FINRA Sued in the Wrong Place At the Wrong Time Affirms Federal Circuit Court
December 21, 2022
FINRA and Citigroup Global Markets Not SHO Enough
December 20, 2022
Intellivest Securities Hunts Down Raiders Who Allegedly Gutted The Brokerage Firm
December 12, 2022
Time to Overhaul SEC Whistleblower Program
December 5, 2022
Sexism on Wall Street: The Cowardly Silence of FINRA's Board of Governors
November 28, 2022
FINRA Fines and Suspends Former SagePoint Rep Who Didn't Actually Know Anything
November 18, 2022
Brokerage Firm Sues Former Stockbroker for Indemnity After Paying Customer Settlement
November 17, 2022
SEC Chair Gensler Speaks About Shakespeare and Hammurabi While FTX Dissolves
November 15, 2022
To Err Is Human. To Forgive Is A FINRA Fine.
November 14, 2022
FINRA Arbitrators Slam Losing Respondents with Hearing Fees in Breach of Contract Dispute
November 10, 2022
The Gensler SEC's Rulemaking Reach Exceeds Its Grasp
November 7, 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
FINRA Taxonomy News Release Isn't Newsworthy
October 28, 2022
Keeping Up With Kenny -- Not the Kardashians
October 12, 2022
A Lack of Finality: The Trevor Saliba Saga at FINRA and the SEC and Again at FINRA
October 10, 2022
The Disappearing Act of Elder Abuse in a TD Ameritrade FINRA Arbitration
October 6, 2022
SEC Hides Disqualification Waiver Order In High Profile Recordkeeping Release
September 28, 2022
Whistleblower Angered by SEC's Split of $27 Million Award
September 27, 2022
Cuyahoga Gone in Appellate Ruling To Send Dispute to FINRA Arbitration
September 23, 2022
Wells Fargo Wins FINRA Arbitration Against Former Rep With Three On And Off Lawyers
September 21, 2022
SEC Buries the Lede About Stunning Misconduct in Its Office of the Ombudsman
September 19, 2022
Federal Court Denies JPMorgan TRO Against Former Employee But Grants Expedited Discovery
September 15, 2022
The Deceased Customer, His Estate, The Merrill Lynch Employee, The Trusts, The Annuity, the Expert, and the Lawsuit
September 14, 2022
UPDATED: Stone Cold Day of Reckoning for FINRA and Self Regulation
September 12, 2022
GUEST BLOG: [In]Securities: Trading Cards as a Meditation: Are NTFs Securities? by Aegis Frumento Esq
September 9, 2022
A Lack of Finality: The Trevor Saliba Saga at FINRA and the SEC
September 6, 2022
Unsettling Settlement Puts FINRA's Board of Governors in Troubling Light
August 29, 2022
GUEST BLOG: [In]Securities: Puff!: The SEC Slays DRGN by Aegis Frumento Esq
August 26, 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
GUEST BLOG: [In]Securities: A Hard Rain's A-Gonna Fall: A Whistleblower Retaliation Case Washes Out by Aegis Frumento Esq
August 19, 2022
Claimant Wins $57 Million in FINRA Arbitration Award and Once More Around The Loop with Bill Singer
August 17, 2022
Overtime at Merrill Lynch Prompts Uneven-Handed FINRA Regulation
August 12, 2022
Federal Court Denies Legend Securities President Bankruptcy Discharge of FINRA Customer Arbitration Award
August 10, 2022
FINRA Small Firms Face Existential Crisis. VOTE Stephen Kohn for Small Firm Governor
July 29, 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
GUEST Blog: FINRA and Another Nail by Stephen Kohn, Candidate for FINRA 2022 Small Firm Governor
July 21, 2022
Love the One You Whiff: A Federal Case Involving Two Sets of Golf Clubs and a Winged Foot Membership
July 20, 2022
FINRA Arbitration Combines Circular Logic With a Nested Loop and a Mobius Strip in Wage Dispute
July 18, 2022
GUEST BLOG [In]Securities: Lyin' Eyes: Securities Fraud or Just Plain Fraud? by Aegis Frumento Esq
July 8, 2022
UBS Sued in Federal Court Over Form 1099 Reporting
July 7, 2022
The Flash Crash, Interactive Brokers, Two Hedge Funds, John Does, and Homer Simpson's Appetite for Donuts
July 6, 2022
Charles Schwab SIP Robo-Adviser Cited In FINRA Arbitration
July 5, 2022
GUEST BLOG [In]Securities: Highwaymen: The SEC Pulls Off a Brinks Heist by Aegis Frumento Esq
July 1, 2022
FINRA Arbitrators Hit Citigroup With $1.4 Million Damages For Discrimination, Harassment, and Retaliation
June 28, 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
JP Morgan Securities Sued for Over $10 Million in Team Dissolution FINRA Arbitration
June 22, 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
The Nightmare of a Dream Job on Wall Street
June 7, 2022
Let's Go to the Video: SEC Gamifies Wall Street Regulation During Pandemic And Economic Crisis
June 2, 2022
TradeZero, Meme Stocks, and High Dudgeon From the SEC
May 26, 2022
5Cir Issues Historic Rebuke of SEC ALJ System
May 19, 2022
Edward Jones Sued for $15 Million Over Book of Business
May 17, 2022
FINRA Torches Small Brokerage Firm Over Due Diligence Procedures
May 10, 2022
FINRA Arbitrators and Federal Courts Consider If A Terminable-At-Will Employee Can Be Wrongfully Terminated
May 9, 2022
The Curious Case of Donald Howard
May 2, 2022
After the SEC's PAUSE, We're Left Wondering Why
April 27, 2022
Pro Se Customer Sues Robinhood But Fails To Show For Round One of FINRA Arbitration
April 26, 2022
Who Opened What Type of Account Becomes a Dilemma in E*Trade Federal Court Motion
April 25, 2022
GUEST BLOG; Still Fighting the Wall Street Bullies by Stephen Kohn
April 19, 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
Unhappy Customers Pull Out All the GameStops In FINRA Arbitration Win Against Charles Schwab
April 12, 2022
For a Second Time, Federal Court Says Price Isn't Right In UBS Whistleblower Retaliation
April 11, 2022
The 90 Year Old Customer, The Trust Account, Merrill Lynch, the Asset Sale, and the Margin Trade
April 7, 2022
FINRA Sued in the Wrong Place At the Wrong Time
April 5, 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
Wells Fargo Promissory Note Case Enters Its Second Decade of Litigation
March 23, 2022
FINRA Bars JP Morgan Securities Rep Over Chase Bank Credit Card Charges
March 21, 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
Former Cantor Fitzgerald Trader Sues Over Wrongful Termination Involving Child Care Leave
March 7, 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
Federal Courts and FINRA Arbitrators Consider If A Terminable-At-Will Employee Can Be Wrongfully Terminated
February 28, 2022
Federal Court Puts A Fork In Schottenstein FINRA Arbitration and Says It's Done
February 25, 2022
UPDATE: The Google, Candido Viyella, Morgan Stanley, Fundacion Nicor Panama Saga: a Bill Singer 2022 Copyrighted Article fighting DMCA Takedowns
February 24, 2022
Federal Court Denies J.P. Morgan Securities Expedited Discovery in Solicitation Case
February 23, 2022
The Candido Viyella, Morgan Stanley, Fundacion Nicor Panama Saga: a Bill Singer 2022 Copyrighted Article fighting DMCA Takedowns
February 21, 2022
Robinhood Hit With Damages in a Say-Nothing FINRA Arbitration Award
February 17, 2022
Customer Lawsuit Puts Robinhood In The News Again
February 15, 2022
SEC Director Calls Awkward Football Audible During Wall Street Gamification Bowl
February 14, 2022
Federal Court Can't Find Any Basis For FINRA Arbitration Decision In HSBC Managing Director Case
February 10, 2022
Court Finds FINRA Arbitration Process Not Fundamentally Fair
February 4, 2022
Native American Tribe Investment Portfolio Proves Costly for Purshe Kaplan & Sterling Investments
February 2, 2022
FINRA the Sheriff of Nothing-ham and Robinhood
January 31, 2022
FINRA Fines and Suspends Barclays Analyst For Undisclosed Employment Offer
January 28, 2022
JP Morgan Securities' Regional Director's Affidavit Fails to Carry Day in TRO for Impermissible Solicitation
January 25, 2022
A Bankruptcy, a Voluntary Dismissal, and a Death
January 20, 2022
Good Vibrations Shoes: 4 Phase Randomized Program Along with a Lithium Rechargeable Power Source
January 14, 2022
FINRA Mulls A Defaulted Bond's Worth
January 12, 2022
How Many FINRA Enforcement Lawyers Does It Take To Prosecute a Default Case?
January 10, 2022
FINRA Says It Had No Part In Deciding Schwab Customer Arbitration -- Seriously?
December 27, 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
No Show Respondent in FINRA Arbitration Prompts No Explanation in Award
December 6, 2021
The European-Style Consolatory Cheek Kiss, the UBS Lawsuit, and the Certified Question
December 2, 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
Two of Three FINRA Arbitrators Ironically Disappear In Unexplained Expungement Award
November 16, 2021
DreamFunded Dream Faded At FINRA And SEC Declines to Stay Expulsions and Bars
November 15, 2021
There's Something Happening Here (at a FINRA Arbitration ) But What It Is Ain't Exactly Clear
November 8, 2021
Frustrated Former Merrill Lynch Employee Could Not Be Promoted But Maybe Could Have But the Firm Says It Didn't Have To
October 29, 2021
FINRA Arbitrators Find No Evidence For Customers' $10 Million UBS YES Claims
October 26, 2021
CFTC Awards Largest Single Whistleblower Award of $200 Million But With One Commissioner's Dissent
October 22, 2021
There Was Little She Could Do -- So Why Was This BOM's Record Marked Up?
October 20, 2021
Federal Circuit Court Sustains Registered Rep's Conviction and Sentence of 90 Months
October 18, 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
Troubling FINRA Regulatory Case: Quis custodiet ipsos custodes?
October 7, 2021
FINRA NAC Affirms OHO But Eliminates Heightened Supervision
October 4, 2021
DreamFunded Dream Faded At FINRA
September 30, 2021
Did SEC Permanently Bar Twice The Same Frivolous Whistleblower Claimant?
September 29, 2021
A Thought Piece on Risk from SEC Commissioner Caroline A. Crenshaw
September 28, 2021
SEC Permanently Bars Frivolous Claimant from Whistleblower Program
September 15, 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
Federal Court Says Signed, Sealed, Delivered, Oooh Baby, It's Arbitration
August 26, 2021
RIP Charlie Watts: You Can Lose The Backbeat
August 25, 2021
DBS Throws Director Under the FINRA Regulatory Bus
August 24, 2021
FINRA AWC Did Not Require Acceptance of Findings But Why Does Regulator Publish Denials?
August 9, 2021
At FINRA, Boys Will Be Boys But Girls Should Act Like Proper Ladies
August 4, 2021
FINRA's Restricted Firm Rule: Two SEC Commissioners Toast the Sinking of the Titanic
August 2, 2021
Another Office Girl Gets Slammed By FINRA
July 29, 2021
Makin' It Rain At The Strip Club -- FINRA Goes After Adult Entertainment Charges
July 26, 2021
GUEST BLOG [In]Securities: Everybody Knows by Aegis Frumento Esq
July 23, 2021
GUEST BLOG: Transitioning to Independence by Michael King of Michael King Associates
July 16, 2021
GUEST BLOG [In]Securities: Tell Me Lies by Aegis Frumento Esq
July 9, 2021
Chase Investment Services Says Former Employee Raised Inadmissible Settlement Communication
July 8, 2021
Angry Variable Annuity Customer Vexatiously Pursues His Legal Rights
July 6, 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
Who's Zooming Whom in FINRA Arbitration and Federal Court?
June 29, 2021
SEC Sanctions Guggenheim Securities For Anti-Whistleblower Confidentiality Agreement
June 28, 2021
Veteran Journalist Susan Antilla Discomforts Wall Street Over Racism
June 22, 2021
Attorney Convicted of 28 Counts in FusionPharm Fraud Case Loses Federal Appeal
June 21, 2021
FINRA Censures and Fines Citigroup Global Markets Inc. for Failed Supervisory System
June 17, 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
FINRA Fines and Suspends LPL Rep For Paying Commissions to an Unregistered Person
June 10, 2021
Native American Tribe's Investment Portfolio Proves Costly for Purshe Kaplan & Sterling Investments
June 9, 2021
The TD Ameritrade Stockbroker and The Customer Were Friends Until Options Trading Came Between Them
June 8, 2021
2Cir Affirms FINRA Arbitrators Award to Jefferies of $1 Million Liquidated Damages For Aborted Employment
June 7, 2021
Now You See It, Now You Don't -- FINRA Rule 2010 Applied by OHO But Rejected by NAC
June 3, 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
GUEST BLOG [In]Securities: Oh No by Aegis Frumento Esq
May 21, 2021
In Pandemic Times An SEC Investment Advisers Act Fraud Complaint Survives a Motion to Dismiss
May 14, 2021
Whistleblowers Battle Over How To Slice the SEC Award Pie
May 12, 2021
Federal Court Rejects TRO Against Brokerage Firm and RIA
May 10, 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
Federal Court Cites Confusion Of Ray Jay's Many Raymond Jameses
May 5, 2021
The Elderly Customer, The Will, The Stockbroker, The Complaining Brother, And The Post-Mortem Wires and Checks
May 3, 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
FINRA Enters Into Fair Settlement Involving Customer Loans and Outside Business Activities
April 20, 2021
The Mother with an Edward Jones Account and Her Daughter the Edward Jones Branch Administrator
April 19, 2021
Desperately Seeking FINRA Arbitration On Remand From Federal Court
April 15, 2021
First Trades, First Dollars, and the NYSE Celebrates Moments
April 13, 2021
Federal Circuit Court Says Head Scratchin' Act Not Proof of Securities Fraud Scienter
April 12, 2021
Customer Complaints and Away Settlements -- Matters of Interpretation?
April 9, 2021
FINRA Gives Credit to Credit Suisse for Not Having A Relevant Disciplinary History
April 8, 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
First Circuit Remands NY Life Racism Case to FINRA Arbitration
March 31, 2021
The Great FINRA Hand Sanitizer Caper!!!
March 30, 2021
GUEST BLOG [In]Securities: The Impossible Dream by Aegis Frumento Esq
March 26, 2021
Remember The Story About The Bernie Sanders Coffee Cup Filled With Feces At Cantor Fitzgerald?
March 25, 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 Notice Reminds Firms Of Obligation To Thoughtfully Craft Strong Rules In Advance
March 19, 2021
FINRA Charges Operations Professional $5,000 for Sushi
March 17, 2021
The Grandfather FINRA OBA Paradox
March 15, 2021
GUEST BLOG [In]Securities: Singin' the Varsity Blues, Part 3: Walkin' That Lonesome Valley by Aegis Frumento Esq
March 12, 2021
Did You Hear the One About the Oligarch Money Launderer and Arms Dealer?
March 11, 2021
FINRA Suffers Stunning Rebuke by SEC in Tysk Appeal
March 8, 2021
FINRA Censures and Fines Securities America Over Outsourced Onboarding
March 2, 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
Finders Keepers Losers Weepers Ends With FINRA Bar
February 25, 2021
Rowing on the SEC's Whistleblower River of Denial
February 23, 2021
GUEST BLOG [In]Securities: Instant Karma By Aegis Frumento Esq
February 19, 2021
An Elderly Grandma and Sister Who Wasn't and the New VA Beneficiaries
February 18, 2021
Former West Point Cadet Blows Up Wall Street Career
February 10, 2021
Schottenstein Family Affair Yields About $20 Million FINRA Arbitration Award
February 9, 2021
GUEST BLOG [In]Securities: Soon May the Tendieman Come By Aegis Frumento Esq
February 5, 2021
3Cir Says Never Is Better Than Late In FINRA Arbitration Appeal
February 4, 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
A Modern Tale of Cybercriminals, Fake ID, and a FINRA Arbitration
January 25, 2021
Negative Consent Morgan Stanley CARE Arbitration Program Sustained by Court
January 21, 2021
A Hard Rain Falls On A Shattered Nation
January 20, 2021
FINRA Fines and Suspends Rep for Taking or Not Giving A Crap
January 19, 2021
FINRA Margin Arbitration Proves All That Glitters Is Not Goldman Sachs
January 15, 2021
Wells Fargo Collects Underpants and Makes Profit But Can't Prove Phase 2 Arbitration Agreement
January 14, 2021
Voya Racial Discrimination Case Sheds Harsh Light On Wall Street Mandatory Arbitration
January 11, 2021
GUEST BLOG [In]Securities: No-Hopers, Jokers and Rogues By Aegis Frumento Esq
January 8, 2021
Untimely Disclosure of Tax Liens Upends Chief Compliance Officer Via Statutory Disqualification
January 6, 2021
FINRA Arbitrator Says It Wasn't UBS Fraud. It Was Covid
January 4, 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
GUEST BLOG [In]Securities: Ringing Out for Christmas Day By Aegis Frumento Esq
December 24, 2020
Federal Court Affirms Merrill Lynch Victory in Nigerian Discrimination Case
December 22, 2020
It's A Schottenstein Family Affair In FINRA Arbitration
December 21, 2020
A History of SOES, Daytrading, NASD, NASDAQ, DOJ, SEC, Congress, and Robinhood -- and a Massachusetts Complaint and Another FINRA Fine
December 17, 2020
Lawyer Says His Compulsive Hoarding Fostered Failure to Timely Pay Taxes
December 16, 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
Schemes From a California Restaurant
December 7, 2020
FINRA Sanctions Former Morgan Stanley and UBS Reps Over Misuse of Customer Information
December 2, 2020
Management of Native American Tribe's Investment Portfolio Prompts FINRA Bar
November 24, 2020
GUEST BLOG [In]Securities: Eggs from the Golden Goose By Aegis Frumento Esq
November 20, 2020
GUEST BLOG: Bill Singer Talks To Industry Recruiter Michael King of Michael King Associates
November 19, 2020
Who Knows Where The Time Goes With Former JP Morgan Rep's FINRA AWC
November 18, 2020
Identities of SEC Whistleblower and Respondent Bank Outed
November 12, 2020
Federal Court Dismisses Challenge to Six Year Old FINRA AWC
November 11, 2020
The Saad Saga Returns to Federal Court
November 9, 2020
The Investment Banker, His Friend, the Friend's Holding Company, and the Two Deals
November 4, 2020
Permanent Bar Proves Less Than Permanent As SEC Approves Return to Industry
October 29, 2020
DC Circuit Court Sustains SEC Orders Against Thaddeus North
October 27, 2020
NYS Appellate Division Hands Defendants Setback In Lawsuit with Brummer and FINRA
October 22, 2020
FINRA Fines Small Firm And its Owner For Misclassification of Expenses
October 21, 2020
Rep Sentenced to 90 Months in Federal Prison On 21 Counts
October 19, 2020
Ballad of a FINRA Man
October 15, 2020
FINRA Fines and Suspends Merrill Lynch Rep Over Apartment Rentals
October 14, 2020
Former Cetera Rep Sues AdvisorNet Financial Over Alleged Supervision and Compliance Failures
October 8, 2020
Not Enough Bull In Stairway to Heaven
October 7, 2020
[In]Securities Guest Blog: tZero/No Limit by Aegis Frumento Esq
September 25, 2020
SEC Reforms Its Whistleblower Program
September 24, 2020
Discovery Misconduct by FINRA Enforcement Prompts Tepid Response from Regulator
September 22, 2020
Federal Court Affirms Federal Jurisdiction in FINRA Arbitration Appeal
September 17, 2020
For FINRA, Relevant Is A Large Gray Pachyderm
September 9, 2020
UPDATE: E Pur Si Mouve, Idioti! (Or So An SEC ALJ Should Mutter)
September 8, 2020
FINRA Proposes OHO and NAC Hearings Via ZOOM
September 3, 2020
GUEST BLOG: Bill Singer Talks To Industry Recruiter Michael King of Michael King Associates
September 2, 2020
A History of SOES, Daytrading, NASD, NASDAQ, DOJ, SEC, Congress, and Robinhood
September 1, 2020
SEC Evaluates Possibility of Granting Relief During Catastrophic Hurricane Laura
August 27, 2020
Pro Se Public Customer Alleges FINRA Arbitrators' Misconduct in Schwab Case
August 25, 2020
Six Years And Counting and the SEC Is Still Dicken-ing Around
August 20, 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
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
UPDATE: Ir-Rationale FINRA Merrill Lynch EFL Arbitration Decision Cited By Tax Court
August 10, 2020
The Securities Industry Commentator by Bill Singer Esq
August 7, 2020
[In]Securities Guest Blog: The Royal Scam by Aegis Frumento Esq
August 6, 2020
Oh Lord, Won't You Buy Me A Mercedes Benz Or Get Me A PPP Loan for A Porsche or Lambo
August 5, 2020
JPMorgan Chase Bank Wins SDNY Remand to Arbitration of Cashier's Checks Escheat Case
August 4, 2020
Statistical Voodoo in the 2020 FINRA Industry Snapshot Report
August 3, 2020
VOTE FOR STEPHEN KOHN for 2020 FINRA Small Firm Governor
July 31, 2020
FINRA Sanctions Concorde Investments Services and CCO Levy Over Supervisory Lapses
July 29, 2020
SEC Remands Feitelberg Bar to FINRA Citing Respondent's Serious Illness
July 28, 2020
Dubious FINRA Study Finds Female Arkansas Prison Inmates Are Usually Poor and Financially Illiterate
July 24, 2020
FINRA Borrowing Rule Seems to Say What It Means But It Doesn't Actually Mean What It Says
July 22, 2020
Hugh Hewitt Supports Stephen Kohn for 2020 FINRA Small Firm Governor
July 21, 2020
UPDATE: No Rationale And No Explanation In FINRA Arbitration Decision
July 20, 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
Bridgewater Over Troubled FINRA Waters
July 15, 2020
Vote for Stephen Kohn for 2020 FINRA Small Firm Governor
July 13, 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
Costco Uses Supreme Court's CFPB Ruling to Force Patriotic Americans to Eat Leftist Round Cakes
June 30, 2020
[In]Securities Guest Blog: Manicula's Gopher by Aegis Frumento Esq
June 25, 2020
Supreme Court Says Disgorgement Not Exceeding Wrongful Net Profits Is Permissible Relief
June 23, 2020
[In]Securities Guest Blog: Gambling Man by Aegis Frumento Esq
June 19, 2020
Marilyn Booker v. Morgan Stanley & Co., LLC, James Gorman, and Barry Krouk: FULL TEXT COMPLAINT
June 17, 2020
Wells Fargo Promissory Note Case Enters Its Eighth Year of Litigation
June 15, 2020
[In]Securities Guest Blog: School's Out for Summer by Aegis Frumento Esq
June 11, 2020
What Presidential Sounds Like
June 8, 2020
Stockbroker Expungement Grapples With Death and Taxes in Time of Plague
June 5, 2020
[In]Securities Guest Blog: The End of the Line by Aegis Frumento Esq
May 28, 2020
Market to Hit New Highs, Shut Down Was An Historic Mistake Says Professor Jeremy Siegel
May 27, 2020
Federal Court Cites Quintessential Shotgun Pleading and Myriad of Motions in FINRA Arbitration Appeal
May 22, 2020
FINRA Says Impeccable Merrill Lynch Has No Relevant Disciplinary History
May 19, 2020
FINRA Censures, Fines and Orders Restitution in Suitability Settlement
May 6, 2020
Federal Court Cites Confusion of Ray Jay's Many Raymond Jameses
May 4, 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
[In]Securities Guest Blog: Life's for the Living by Aegis Frumento Esq
April 23, 2020
Guest Blog: Riddle of the FINRA Sphinx by Stephen Kohn
April 22, 2020
SEC Announces Two Whistleblower Awards But One Is A Redacted Puzzle
April 21, 2020
IRA Dispute Offers a Bleak House for Fidelity Stockbroker
April 20, 2020
[In]Securities Guest Blog: Small Worlds by Aegis Frumento Esq
April 16, 2020
It Ain't Over Till It's Over As Martinovich Appeals Continue
April 10, 2020
[In]Securities Guest Blog: Hello In There by Aegis Frumento Esq
April 9, 2020
Familiar Names Resurface In SEC Unauthorized Trading Scheme
April 8, 2020
No Membership Port In A Regulatory Storm For Newport Coast Securities
April 7, 2020
Whole Worker Sick-Out Was Half-Assed
April 3, 2020
Registered Rep Goes Down for the Count -- All 21 of Them
April 1, 2020
Federal Courts Okay FINRA Unexplained Arbitration Decision
March 30, 2020
[In]Securities Guest Blog: In Dreams by Aegis Frumento Esq
March 26, 2020
Court Says No Second Bite of FINRA Arbitration Apple
March 23, 2020
[In]Securities Guest Blog: Who's Zoomin' Who by Aegis Frumento Esq
March 19, 2020
On The Beach in Hysteria Mode
March 13, 2020
[In]Securities Guest Blog: Not Going Back to My Old School by Aegis Frumento Esq
March 12, 2020
Thought And Preparation In Wall Street Plague Time
March 11, 2020
Not Enough Bull In Stairway to Heaven
March 10, 2020
It's The End of The World BrokeAndBroker.com Blog Edition
March 9, 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
Hot Shoe Burnin' Down Wall Street In FINRA Morgan Stanley Panama Arbitration
February 27, 2020
FINRA Fines And Suspends Rep Over Unauthorized Signatures on Self Directed IRA Transfers
February 25, 2020
Wells Fargo Settles Criminal and Civil Sales Practices Cases
February 24, 2020
[In]Securities Guest Blog: A Political World by Aegis Frumento Esq
February 13, 2020
Down In the Dunes, Dealing With the Goons with SEC ALJ Foelak
February 11, 2020
The Saga of FINRA Versus Kimberly Springsteen-Abbott
February 10, 2020
Court Rejects Late Breaking Wisdom As Too Late in FINRA Arbitration Appeal
February 7, 2020
Guest Blog: The 10 Warning Signs of a Crypto Scam by Jesus Cedeno
February 6, 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: Rolled Up and Smoked by Aegis Frumento Esq
January 30, 2020
SEC Denies Stay of FINRA Expulsion Over Annual Audit Report
January 28, 2020
Did a Federal Court Mistakenly Deem FINRA a Federal Prosecutor?
January 24, 2020
[In]Securities Guest Blog: Driving That ESOP Trolley by Aegis Frumento Esq
January 23, 2020
In Today's Securities Industry Commentator
January 21, 2020
FINRA Settles Case Involving What Looks Like A Felony But Isn't
January 17, 2020
[In]Securities Guest Blog: Drunk on a Plane by Aegis Frumento Esq
January 16, 2020
FINRA Arbitrators Cite Untimely RICO Claims By Former Merrill Lynch Executive
January 13, 2020
Dismissed FINRA Arbitration Against JP Morgan Involves Horrific Backstory
January 10, 2020
[In]Securities Guest Blog: Born to be Wild by Aegis Frumento Esq
January 9, 2020
Fantasy Football Arrives To Wall Street and Freedom Is At Stake
December 30, 2019
[In]Securities Guest Blog: And So This Is Christmas by Aegis Frumento Esq
December 24, 2019
[In]Securities Guest Blog: Not Dead Again Today? by Aegis Frumento Esq
December 19, 2019
Funky Chicken Alters The Course of Wall Street Insider Trading
December 17, 2019
The Temptations of Collecting Data at the SEC
December 16, 2019
[In]Securities Guest Blog: Lawyers, Guns and Money by Aegis Frumento Esq
December 12, 2019
Synapse Financial Technologies Sued For Harassment, Discrimination and Retaliation
December 10, 2019
Appellate Court Sustains Criminal Conviction in Schwab Restraining Order Dispute
December 9, 2019
[In]Securities Guest Blog: WeWork Works It Out by Aegis Frumento Esq
December 5, 2019
Fee Based Rep Seeks Expungement Over Commissions He Never Charged
December 4, 2019
GROWING SCANDAL ALERT: Italian Cheese Flying the False-Flag of France
December 3, 2019
[In]Securities Guest Blog: Still a Wonderful World by Aegis Frumento Esq
November 27, 2019
What If A Much of a Which of a Wind Gives the Truth to a FINRA Arbitration Lie?
November 26, 2019
[In]Securities: Who'll Be Watching Whom? by Aegis Frumento Esq
November 21, 2019
SEC Whistleblower Program: Three Persons Deemed One Claimant and the 8/10ths of a Human Being
November 19, 2019
Federal Court Denies FINRA Arbitration of NY Life Racism Case
November 18, 2019
FINRA Addresses Light Bulb and Coffee Cake Abuses
November 15, 2019
[In]Securities Guest Blog: What's My Name? by Aegis Frumento Esq
November 14, 2019
Tower Research Capital Not Such a CFTC Bad Boy After E-Mini Fraud
November 8, 2019
[In]Securities Guest Blog: Wishin' I Was Stoned by Aegis Frumento Esq
November 7, 2019
Supreme Court to Decide Whether Disgorgement is Penalty or Equitable Relief
November 4, 2019
E Pur Si Mouve, Idioti! (Or So An SEC ALJ Should Mutter)
November 1, 2019
[In]Securities Guest Blog: Everybody Knows by Aegis Frumento Esq
October 31, 2019
SEC ALJ Order Discusses Character Witnesses and Inability to Pay
October 30, 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
Muni Rigor Mortis
October 21, 2019
[In]Securities Guest Blog: Make It So by Aegis Frumento Esq
October 17, 2019
[In]Securities Guest Blog: Money for Nothing by Aegis Frumento
October 10, 2019
Does Your Brokerage Contract Bite?
October 9, 2019
No Rationale and No Explanation In FINRA Arbitration Decision
October 8, 2019
Guest Blog: Merrill Lynch Production Policy Causes Age Discrimination by Jerry Marks, Esq
October 7, 2019
[In]Securities Guest Blog: Singin' the Varsity Blues, Part 2: Whose Intentions Are Good by Aegis Frumento
October 3, 2019
Another Obituary for Wall Street
October 2, 2019
Astounding 20 Criminal, Regulatory, and Compliance Cases Featured in Securities Industry Commentator
October 1, 2019
Former Beazer Homes Chief Accounting Officer Loses Stay of SEC Suspension
September 30, 2019
[In]Securities GUEST BLOG: Fantasy by Aegis Frumento Esq
September 26, 2019
Citigroup's Cryptic Cryptocurrency Case
September 20, 2019
[In]Securities GUEST BLOG: Hit the Road, Jack by Aegis Frumento Esq
September 19, 2019
A Brief Essentially Devoid of Any Legal Analysis or Citations
September 18, 2019
FINRA's JPM Omelet Ends With Egg On the Regulator's Face
September 17, 2019
FINRA Arbitrators Say Who Is On First. I Don't Care. I Don't Give A Darn
September 16, 2019
Perplexing FINRA AWC About the Likely Statutorily Disqualified Rep
September 13, 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
FINRA AWC Cites Prospective Customer, Possible Investor, and Proposal
September 4, 2019
Rocky Enters Texas Ring Over Fee-For-Advice Dispute
September 3, 2019
Morgan Stanley Marks Up Stockbroker's Record Over Annuity Complaint by Customer's Nephew
August 29, 2019
FINRA Bars Stockbroker After RBC Makes $1 Million Pricing Error
August 28, 2019
UPDATE: SEC Sustains Saad Sanction Saga
August 26, 2019
Wide Open Arbitration Slam Dunks for Two FINRA Firms. One Scores. One Clangs
August 15, 2019
Federal Court Grapples With Compliance Officer's Whistleblowing to FINRA
August 14, 2019
Customer Chat with Schwab Chat Representative Prompts FINRA Arbitration
August 7, 2019
FINRA's Hearing Officers Are 70% Former FINRA and 30% Former SEC
August 2, 2019
GUEST BLOG: FINRA Hearing Process . . .BIAS . . . Real or Perceived???
August 1, 2019
Anonymous Tip to FINRA's Securities Helpline for Seniors Gets Stockbroker Barred
July 31, 2019
GUEST BLOG: Sittin' On the Dock by Aegis J. Frumento Esq
July 25, 2019
Trading After Death
July 24, 2019
GUEST BLOG: What Can We Do To Increase Diversity? by Linde Murphy
July 19, 2019
GUEST BLOG: Standing on the Moon by Aegis Frumento Esq
July 18, 2019
FINRA Fines and Suspends Rep for Unauthorized Transfer of 270 Customers' Info
July 16, 2019
GUEST BLOG: Hester's Scarlet Begonias by Aegis Frumento Esq
July 11, 2019
Customer's Wife Rescues Former Edward Jones Broker In Expungement Case
July 10, 2019
GUEST BLOG: Pursuing America by Aegis Frumento Esq
July 3, 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
The Inmate Stockbroker with 51 Disclosures on BrokerCheck
June 18, 2019
2019 FINRA Board of Governors Election
June 17, 2019
GUEST BLOG: Hero Takes a Fall by Aegis Frumento Esq
June 13, 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
SEC Acts In the Public Interest And Renders $3 Million Whistleblower Award
June 4, 2019
Another Day. Another FINRA Regulatory Settlement. Another Case Involving Who Owns the Customer
May 31, 2019
GUEST BLOG: Earning It, For Our Brothers In Arms by Aegis Frumento, Esq
May 30, 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
Opioid Addiction on Wall Street: A Wells Fargo Employee Is Barred
May 17, 2019
GUEST BLOG: . . . and I Feel Fine by Aegis Frumento Esq
May 16, 2019
FINRA Arbitrators Slam JP Morgan Over Defamatory Termination
May 13, 2019
GUEST BLOG: The Game of Coins by Aegis Frumento Esq
May 9, 2019
FINRA Censures and Fines Firm Over Supervision of Watch and Restricted Lists
May 6, 2019
GUEST BLOG: Acts of Code by Aegis Frumento Esq
May 2, 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
FINRA Arbitrators Dismiss Customer Claims Involving Stanford International Bank CDs
April 23, 2019
Was Felon A Frequent Flyer or Flight Risk?
April 22, 2019
GUEST Blog: The Strangled Cries of Lawyers in Love by Aegis Frumento Esq
April 18, 2019
GUEST BLOG: Inversions by Aegis Frumento Esq
April 11, 2019
Court Suspends Former NYSE Arbitration Counsel and FINRA Arbitrator
April 10, 2019
FINRA Notice To Members 19-10 Should Have Said What It Meant
April 8, 2019
SEC Scheduling Order: The Nuts and Bolts of Trying Your Case
April 5, 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
BREAKING STORY: Supreme Court Affirms DC Circuit on Lorenzo v. SEC
March 27, 2019
FINRA Settlement Not Fussing And Fighting But Working It Out
March 25, 2019
GUEST BLOG: Singin' the Varsity Blues: Leave Them Kids Alone by Aegis Frumento Esq
March 21, 2019
FINRA Suspends CEO and CCO Over Failed Supervision of Exotic ETFs
March 20, 2019
SEC Prays for Relief in Complaint Against the Church for the Healthy Self
March 19, 2019
Merrill Lynch Wins A Round Against Former Employees in FINRA Arbitration
March 18, 2019
Good Intentions Pave Merrill Lynch Stockbroker's Retirement Highway to Hell
March 15, 2019
GUEST BLOG: OneCoin's Whorl of Woe by Aegis Frumento Esq
March 14, 2019
FINRA Finds (AGAIN!) That Ameriprise Stockbroker Altered and Concealed Evidence in Customer Arbitration
March 13, 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
GUEST BLOG: In for a Pound by Aegis Frumento Esq
March 7, 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
Charles Schwab Sues Customers Over XIV Debit Balance
February 25, 2019
GUEST BLOG: That River of Dreams by Aegis Frumento Esq
February 21, 2019
GUEST BLOG: To Hold and Have Not by Aegis Frumento Esq
February 14, 2019
Lord Voldemort, Bank of America, Merrill Lynch, FINRA, And Childcare Expenses
February 13, 2019
Merrill Lynch Stockbroker Crashes And Burns Over Class B Shares Limits
February 11, 2019
Sexism on Wall Street: New Chapter, Same Book
February 8, 2019
GUEST BLOG: Gods Help Us, Every One by Aegis Frumento Esq
February 7, 2019
Abandoned Car Wreck of Public Customer FINRA Arbitration
February 5, 2019
Premature Withdrawal Ends In $445,000 Award Against Wells Fargo Rep
February 4, 2019
GUEST BLOG: The Hard Fork in DAO Road by Aegis Frumento Esq
January 31, 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
State of the Union: Clowns to the Left, Jokers to the Right
January 18, 2019
Hot Nepal Real Estate Market Burns Stockbroker With FINRA Fine and Suspension
January 11, 2019
Oppenheimer TKO'd by Stunning Stockbroker Offset in FINRA EFL Arbitration
January 9, 2019
GUEST BLOG: Bitcoin is Not Blockchain's Best Use Case by Aegis Frumento Esq
January 3, 2019
Ir-Rationale FINRA Merrill Lynch EFL Arbitration Decision Cited by Tax Court
December 31, 2018
Morgan Stanley and Wells Fargo Tackled for Big Loss in $7.7 million FINRA Arbitration
December 28, 2018
Federal Court Considers SEC Subpoena of Outside Consultant Records
December 27, 2018
Scottsdale Sues Rep For Contacting FINRA But FINRA Bars Him For Not Testifying Against Firm
December 26, 2018
GUEST BLOG: This Christmastide by Aegis Frumento Esq
December 24, 2018
GUEST BLOG: Dishonorable Services by Aegis Frumento Esq
December 20, 2018
Pro Se Public Customer Walks Out Of FINRA Arbitration Hearing Room
December 17, 2018
GUEST BLOG: Beta Blockers by Aegis Frumento Esq
December 13, 2018
FINRA Rule 8210 Demands End With Stockbroker Bar
December 10, 2018
GUEST BLOG: Blaming Nobody by Aegis Frumento Esq
December 6, 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
Stockbroker Plays Hide And Seek With FINRA
November 30, 2018
GUEST BLOG:The SEC Plucks a Chicken by Aegis Frumento Esq
November 29, 2018
Unsplit Commission Split Splits Two Registered Reps
November 28, 2018
Son Calls FINRA Senior Helpline About Trading In Mom's Account
November 27, 2018
FINRA Arbitrator Sanctions No-Show Public Customer Lawyer
November 26, 2018
GUEST BLOG: Giving Thanks by Aegis Frumento Esq
November 22, 2018
Stockbroker Wins Expungements of Decade Old Customer Complaints
November 20, 2018
Stockbroker Victimized By Mother In Law Complaint About Stolen Funds
November 16, 2018
GUEST BLOG: Pragmatic Federalism In a Blockchained World by Aegis Frumento Esq
November 15, 2018
In Memoriam: 12 Dead at Thousand Oaks, California
November 9, 2018
Buyer's Remorse Over Industry Bar Prompts Epic SEC Appeal
November 7, 2018
Customer Withdrawals and Vacations At Heart of Stockbroker Expungement
November 6, 2018
Sole Beneficary Grandnephew Sues Morgan Stanley Questioning Mom's Capabilities
November 5, 2018
Gregor Samsa Awakes As A FINRA Unnamed Party
November 2, 2018
GUEST BLOG: Here Be Dragons by Aegis Frumento Esq
November 1, 2018
Ameriprise Wins Epic Battle With Advisor Who Pled Guilty In Criminal Case
October 31, 2018
In Memoriam: 11 Dead In Shooting at Pittsburgh Synagogue
October 29, 2018
UBS Wins FINRA Mandatory Arbitration Appeal
October 26, 2018
GUEST BLOG: The Soft-Headed Side of Sears by Aegis Frumento Esq
October 25, 2018
GUEST BLOG: FINRA Dictator of Dispute Resolution by Dochtor Kennedy, Esq
October 24, 2018
The Widow, Her Stockbroker Brothers In Law, The Estate, and Delay
October 23, 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
GUEST BLOG: The Million Dollar Bottle by Aegis Frumento Esq
October 18, 2018
State Farm Stockbroker, His Relative, a Faked Insurance Policy, Travel Perks, Job Loss, and FINRA
October 17, 2018
Stuck Inside Of Mobile with the Holiday Inn Blues Again
October 16, 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
The Stockbroker, His Wife, 3 Customers, 3 Healthcare Proxies, 1 Trust, and 1 IRA
October 5, 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
Double Standard? FINRA Fines and Suspends Wells Fargo Employee For 382 Unauthorized Trades
September 28, 2018
GUEST BLOG: All You Need Is A TCR and a Dream by Aegis Frumento Esq
September 27, 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
FINRA Arbitrator Tells Customers Suing Citigroup That It's Too Late Baby
September 20, 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
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
Stockbroker An Unintended Bystander Victim In Drive-By Customer Complaint
September 10, 2018
FINRA Ends the Beguine But Did It Begin the Beguine?
September 5, 2018
Justify Ownership in Deal Genuine For $5.7 Million Abandoned Funds
August 31, 2018
Date of Birth on Driver License Crashes Stockbroker Career
August 28, 2018
Ya Hear The One About The Stockbroker Who Listened to Idiots and Never Got His Record Expunged?
August 27, 2018
Nietzsche, BeeGees, Kierkegaard, Syndergaard, and Jive Talkin' On Wall Street
August 24, 2018
GUEST BLOG: Of Trust, Lattes and Blockchains by Aegis Frumento Esq
August 23, 2018
GUEST BLOG: Big Changes Coming for Small Firms by John Busacca
August 22, 2018
Chancery Court Denies TRO After Alleged Defamation to SEC and FINRA
August 20, 2018
$5 Million Awarded In FINRA Customer Arbitration. Now Let's Beat the Dead Horse
August 17, 2018
GUEST BLOG: A Trillion Reasons By Aegis J. Frumento, Esq.
August 16, 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
10 Year Employee Forgivable Loan Battle Frustrates UBS
August 13, 2018
Mean Spirited FINRA Must Respect Membership Median
August 10, 2018
Where There's A Will, FINRA Says No Way!
August 9, 2018
The Greek Yogurt Justice of Strained FINRA Mercy
August 8, 2018
GUEST BLOG: Securities Fraud? Or Just Bullshit? by Aegis Frumento, Esq
August 7, 2018
AAA Arbitrator Disclosures Upend JPMorgan Chase Bank Employment Lawsuit
August 6, 2018
GUEST BLOG: That Long Strange Trip from SunTrust to Wells Fargo by Aegis Frumento Esq
August 2, 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
UPDATE:Non-Attorney Representatives Involved In FINRA Arbitration Blight
July 23, 2018
UPDATE: SEC Vacates PCAOB Action in Laccetti and Cancels Sanctions
July 18, 2018
87 Year Old Stifel Nicolaus Customer, His Stockbroker, and 33 Blank Account Checks
July 17, 2018
Stockbrokers Victimized by Customer Imposter and FINRA Fees and Charges
July 10, 2018
Mentoring Wall Street Professionals About Determination and Persistence
July 6, 2018
SEC Seeks to Reform Its Whistleblower Process
July 3, 2018
The Double Edged Sword of Facts And A FINRA Expungement
June 28, 2018
The Elderly Wife, The Husband, and The Transfer on Death Account
June 27, 2018
The Deceased Father, Claimant Mother, Daughter, Son In Law Stockbroker, and a Kickboxing Investment
June 26, 2018
Zipper Plays Sisyphus to FINRA's Zeus
June 21, 2018
Becoming Yourself on Wall Street: Josh Brown and Alexander Palumbo
June 19, 2018
Power Play Short Circuits Broker's Career
June 18, 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: R.I.P. PCAOB Audits by Stephen Kohn
June 12, 2018
FINRA Suspends Stockbroker For Reimbursing Customer Options Losses
June 11, 2018
SEC ALJ Denies Disqualification of Wedbush Lawyer
June 8, 2018
Wall Street Career Cashed Out Over Identity Theft and Gift Cards
June 7, 2018
GrandFund in a FINRA Grand Funk
June 5, 2018
Feuding Stockbrokers Set Stage for Expungement of Cookie Cutter Customer Complaints
June 1, 2018
FINRA Settles UIT and Instant Messaging Case
May 31, 2018
FINRA Fines And Suspends Merrill Lynch Rep for Check Kiting
May 29, 2018
Busted Out Credit Cards Bust Defendants
May 24, 2018
Post Mortem Auto-Pilot Trading Sends Stockbroker's Career Into Head-On Regulatory Crash
May 21, 2018
The Disqualified Stalking Felon Stockbroker, The Texting Stockbroker, The Missouri Waltz, and FINRA
May 17, 2018
Colorado Court Shuts Down FINRA Over Expungement Confirmation
May 16, 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
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
UPDATE: Medical Marijuana Biz Goes Up In SEC Smoke
May 1, 2018
Financialindustryregulatory Arthur-Iddy's BrokenCzech Tool
April 30, 2018
FINRA Arbitrators Say Wells Fargo Bank Breached Duty of Customer Care
April 27, 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 Bogarts the Weed In Medical Marijuana Settlement
April 20, 2018
Of Bullet Fees and In House Counsel Fees In FINRA Employment Arbitration
April 18, 2018
Rashomon Plays Out In Merrill Lynch Discretionary Case
April 16, 2018
Oppenheimer and Euro Pacific Duke It Out In $35 Million Unfair Competition Arbitration
April 11, 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
Body and Estate and Soul and a Counterfeiter and a Murderer and Merrill Lynch
March 28, 2018
Perennially Hopeless Battle On In JP Morgan FINRA Arbitration
March 27, 2018
2 Wrongs Don't Add Up To 1 Right In FINRA Regulatory Settlement
March 22, 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
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
Federal Court Sustains FINRA / SEC Over CEO Reckless Disregard of Net Cap Rule
March 12, 2018
Bubitotious Infectosis, FINRA Exams, and Loaded Dice
March 2, 2018
Non-Attorney Representatives Involved In FINRA Arbitration Blight
March 1, 2018
Wells Fargo Sustains Stunning Promissory Note Loss
February 26, 2018
Customer Appeals Wells Fargo Arbitration Loss To Federal Court
February 21, 2018
30 Months Of Violations Under FINRA's Nose
February 16, 2018
Emergency Surgery Fails To Remove Margin Call
February 12, 2018
Sterne Agee Broker's IPO Trading In Away Account Earns FINRA Sanctions
February 9, 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
Historic Federal Reserve Restrictions on Wells Fargo
February 5, 2018
FINRA Stuffs Stifel's Trading Ahead Exemptions
February 2, 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 Arbitrators See No UBS, Citigroup, or Merrill Customers And Dismiss Case
January 23, 2018
FINRA Sanctions Charitable Remainder Trust Pitch
January 22, 2018
FINRA Dispute Hangs Out As SEC Unzips Zipper Appeal
January 16, 2018
Who Owns The Customer? Open Letter to FINRA Board from Bill Singer Esq
January 8, 2018
FINRA Horse With No Name Named
January 2, 2018
The Dead Father, Feuding Kids, Stockbroker In The Middle, and the Lawsuit
December 26, 2017
Has FINRA Just Threatened To Shut Down Wall Street's Fantasy Leagues and Office Sports Pools?
December 22, 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
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
Feds Halt Seinfeld Bottle Deposit Scam
December 6, 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
Edward Jones Stockbroker Shot Blanks In FINRA Customer Signature Settlement
November 28, 2017
DOL Whistleblower Darrell Whitman Files Emergency Request with US Office of Special Counsel
November 24, 2017
FINRA Plays Hide And Seek With Six Years Of Unauthorized Sales And Withdrawals
November 22, 2017
Spoofing Email Sends Payment To Minneapolis, Shanghai, and Bremen
November 21, 2017
Clever Stipulation In FINRA Expungement Arbitration
November 17, 2017
Voluntary Resignation, Diversion of Customer Funds, and FINRA Bar
November 16, 2017
Humpty Dumpty, FINRA, Sharing, Guarantee, and Losses
November 15, 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
SEC Nixes Stay of Statutory Disqualification
November 8, 2017
FINRA Schrodinger Cat Is Dead, Alive, and a Zombie
November 7, 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
$3 Million Awarded In UBS FINRA Employment Dispute
October 30, 2017
Charity Begins At Work For Suspended Registered Rep
October 24, 2017
Too Many Questions In Edward Jones TOD Account FINRA Arbitration
October 24, 2017
Absurd Unexplained Public Customer FINRA Arbitration Decision
October 20, 2017
Rep Defends Herself Against Ameriprise EFL Arbitration
October 18, 2017
SEC Saad Saga Still Slogs Still Sags
October 16, 2017
FINRA Settlement Muddies Wall Street's Regulatory Waters
October 13, 2017
Former JP Morgan Employee Represents Himself in Paternity Leave Case
October 12, 2017
Oil Industry Website Hacker Sentenced To Prison
October 10, 2017
Fixer Upper Biz Puts Stockbroker In Need of Career Renovation
October 9, 2017
FINRA Borrowing Settlement Involves Friendly 96 Year Old Customer
October 4, 2017
SEC Sustains FINRA On Willful Failure to Disclose Tax Liens
October 2, 2017
Child Endangerment Defendant Barred By FINRA
September 28, 2017
BREAKING NEWS: SEC Loses Dramatic CLO Case Against Tilton and Zohar
September 27, 2017
FINRA Bars Rep For Arbitration Perjury
September 27, 2017
UBS Employee Padussis Wins Best Left Unsaid Arbitration
September 25, 2017
Lawyers Cast Aspersions In Nasty FINRA Arbitration Involving Divorced Couple
September 22, 2017
TD Ameritrade Acquires Scottrade Subject To Outdated NASD Rules
September 21, 2017
Wachovia Customer Sues Wells Fargo Over FundSource Losses
September 20, 2017
Harbour and Geneos Customers Win FINRA Arbitration Against Stockbroker
September 19, 2017
RIA Cherry Picking Case Rings Alarm (Anyone Listening?)
September 15, 2017
RBC Stockbroker Father Died and His Son Inherits Unhappy Customer
September 12, 2017
The Merry-Go-Round of FINRA Reform. This Time It Won't Be Any Different Again
September 6, 2017
GUEST BLOG: A FAILURE OF ACCOUNTABILITY: Wells Fargo Fraud Goes Unanswered As Washington Dithers by Darrell Whitman
September 5, 2017
UPDATE: Merrill Lynch FINOP Cited By SEC for Unprecedented Violations
September 1, 2017
PNC Loses Wrongful Termination FINRA Arbitration
September 1, 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
STEPHEN A. KOHN Wins Three-Way Race for 2017 FINRA Small Firm Governor
August 22, 2017
Zombie Customer Complaint Will Not Die After 35 Years
August 22, 2017
Stifel Prevails In Arbitration But Former Hilltop Employees Hit With Awards
August 21, 2017
7th Circuit Affirms Spoofing Conviction
August 16, 2017
VOTE FOR STEPHEN KOHN for 2017 FINRA Small Firm Governor
August 16, 2017
SG Americas Employee Wins (Sort Of) FINRA Employment Arbitration
August 15, 2017
Childbirth and Medical Emergency Impact FINRA Arbitration
August 14, 2017
$5.5 Million Power of Attorney Doctor Sees Dead Lawyers
August 11, 2017
FINRA Felony Jigsaw Puzzle
August 10, 2017
Federal Prosecutors Throw In Towel Against Benjamin Wey
August 9, 2017
This Wall Street Train of Regulation Don't Pull No FINRA Winkers
August 8, 2017
Darrell Whitman Petitions Attorney General Sessions About Wells Fargo Investigation
August 7, 2017
2Cir Affirms Icahn Victory In Options Disgorgement Case
August 4, 2017
Opening Pandora's Box of Puts
August 4, 2017
Chia Hair Plugs and 100% Principal Protected Lehman Brothers Notes
August 3, 2017
GUEST BLOG: Whistleblown by Michael Schwartz
August 1, 2017
FINRA Gets One Last Slap in Marine Veteran's Face
July 31, 2017
VOTE FOR STEPHEN KOHN for 2017 FINRA Small Firm Governor
July 28, 2017
UBS v. Fiore: Let The Games Begin
July 27, 2017
Bond Trader Barred by FINRA Wins Arbitration For Unpaid Wages
July 26, 2017
Grassroots Movement to Revise FINRA Fine and Suspension of Richard Botkin
July 25, 2017
FINRA 2017 Small Firm Governor Election Underway
July 24, 2017
Elder Abuse Allegations Arise In Wedbush Arbitration
July 20, 2017
BREAKING NEWS: Second Circuit Overturns Rabobank LIBOR Convictions
July 19, 2017
Stephen Kohn and Hugh Hewitt Champion Richard Botkin's FINRA Appeal
July 14, 2017
UPDATE: SEC Denies Wanger Re-Entry Into Industry
July 12, 2017
Testing FINRA's Test Center Patience
July 11, 2017
FINRA Disciplinary Settlement Raises Relevancy of Any
July 10, 2017
UPDATE: FINRA Rides The Thunder In Vietnam Movie Case
July 7, 2017
FINRA Rides The Thunder In Vietnam Movie Case
July 6, 2017
HSBC Securities Settlement Raises Questions About FINRA Examinations
July 5, 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 Arbitrators Can't Explain
June 28, 2017
SEC Settlement Cites Trading Ahead of Research
June 27, 2017
South Park Gnomes' Underpants Scheme Inspires FINRA Arbitration Decision
June 22, 2017
BREAKING NEWS: FINRA Wins Round One of Scottsdale 144 Case
June 21, 2017
VXX Vice Versa Vexes Veteran Stockbroker
June 21, 2017
FINRA Fines And Suspends Husband For Adding His Wife As Customer's Annuity Beneficiary
June 20, 2017
Benjamin Wey Wins Suppression Order In Securities Fraud Criminal Case
June 19, 2017
Stockbroker and Wife Fake Statements For Home Loan
June 16, 2017
Stephen Kohn and Jim Webb, Candidates for 2017 FINRA Small Firm Governor
June 15, 2017
UPDATE: Potentially Dubious Flexible Rescheduling Of SEC Hearing And Awry,Alaska Cruise
June 14, 2017
FINRA's Foolish Inconsistency
June 9, 2017
FINRA Fines and Suspends Rep Over Savings Goals
June 7, 2017
BREAKING NEWS: SEC Loses Supreme Court Kokesh Disgorgement Case
June 5, 2017
GUEST BLOG: Dinosaur in the Room by Stephen Kohn
June 5, 2017
2017 FINRA Small Firm Governor Petition Candidates
June 3, 2017
Stephen A. Kohn For 2017 FINRA Small Firm Governor
May 30, 2017
FBI Agent Josh and Where's Waldo? Where's OWB?
May 26, 2017
GUEST BLOG: At the SEC, One Year Equal 1,825 Days
May 22, 2017
Potentially Dubious Flexible Rescheduling of SEC Hearing
May 19, 2017
FINRA Hoisted With Its Own BrokerCheck Petard
May 9, 2017
A Truce Just About Does It In Schwab Solicitation Case
May 8, 2017
FINRA Arbitrator Tosses Stale Wells Fargo Customer Case
May 4, 2017
ALJ Weighs Dilemma of Sanctions Versus Punishment For Transfer Agent
May 3, 2017
Stockbroker Expunges Complaint About Profitable Investment
May 1, 2017
GUEST BLOG: Are Decepticons Duplicitous? by Stephen Kohn
April 28, 2017
FBI Files Cite Nuclear Reactor In Home Freezer
April 27, 2017
FINRA's Three Handed Monster of a Settlement
April 25, 2017
FINRA Arbitrator Says Compliance Not A Call To Sainthood
April 24, 2017
Merrill Lynch Employee Flies First Class After Mystery Man Misuses Corporate Card
April 21, 2017
High Frequency Trading: Is Regulation the Answer?
April 19, 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 Fines And Suspends Merrill Rep For Altering Client Documents
April 12, 2017
FINRA Settles With Merrill Lynch Rep Who Tried To Sell Customer Information
April 11, 2017
GUEST BLOG: Flawed Attempt for a Good Idea
April 7, 2017
The Dry Cleaner, Planet Alderaan, FINRA, Wells Fargo, and the Disturbed Force
March 31, 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
Warp Speed Dismissal in Lightspeed Trading Arbitration
March 24, 2017
FINRA Rule 8312: The Indecipherable Swamp of BrokerCheck
March 21, 2017
Damnable Costs of FINRA Expungement
March 20, 2017
Chile Client Cases Chill FINRA
March 16, 2017
Bill Singer Pans FINRA AWC Peeps Protocol
March 7, 2017
The Dead Customer, Her Son, Trading Losses, and Stockbroker's Expungement
March 3, 2017
FINRA, Wells Fargo, and the Victimized 93 Year Old Investor
February 28, 2017
Investment Adviser Charged With Fake Withdrawals and Forgeries
February 22, 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
Merrill Lynch FINOP Cited By SEC for Unprecedented Violations
February 15, 2017
Is SEC Cherry Picking Case Nit Picking Depositions?
February 13, 2017
Medical Marijuana Biz Goes Up In SEC Smoke
February 10, 2017
NASD Charges Member For Pursuing Research Biz. Or Was That FINRA?
February 9, 2017
Real Estate Flipper Sued For Investment Fraud
February 8, 2017
Google Subpoena Withdrawn in Brummer v. Wey Defamation Case
February 7, 2017
GUEST BLOG: This Way to Financial Services Reform
February 6, 2017
Subpoena Served on Google in Brummer v. Wey Defamation Case
January 31, 2017
Federal Courts Dismiss Fiduciary Class Action Against JPMorgan
January 30, 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
FINRA's JP Morgan Challenge: Will the Self Regulator End Its Hypocrisy?
January 24, 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
FINRA NAC Member Brummer Files Amended Defamation Complaint
January 19, 2017
NSF Check Kiter Snagged In FINRA Regulatory Tree
January 18, 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
Guilty Plea In FOREX Price Fixing Case
January 13, 2017
FINRA Says Call It A Loan On A Debt That You Owe
January 13, 2017
FOREX Markets Hit By New Indictments
January 11, 2017
FINRA Arbitrators Slam Wedbush In Pay Dispute
January 10, 2017
SEC Opts For Intercircuit Nonacquiescence
January 9, 2017
UPDATE: Scottsdale Sues FINRA In Edgy Effort To Halt Disciplinary Case
December 27, 2016
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 Shuts Down RIA Cherry Picking
December 21, 2016
UPDATE: Hacking (Not Fracking) Gives Oil Industry Website Developer Gas Pains
December 20, 2016
Pro Se Inmate Stuns SEC Division of Enforcement
December 19, 2016
Confusing Customer Conversion Case Confounds FINRA
December 19, 2016
Supreme Court Rules on USA v. Salman Insider Trading Case
December 6, 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
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 Most Terrible Crime a Human Being Can Commit
November 18, 2016
The Divorcing Husband And Wife Stockbrokers Joint Production Team
November 17, 2016
Whatcha See is Whatcha Get In FINRA Settlement
November 16, 2016
SEC ALJ Sings Questions 67 & 68 and 25 or 6 to 4
November 15, 2016
Merrill Lynch Defamation Ruins Stockbroker Career
November 9, 2016
Death Be Not Proud Or Profitable In SEC Fraud Case
November 7, 2016
Wells Fargo Shocked By Employee Theft
November 4, 2016
FINRA Sanctions Lack of Proactive Compliance
November 3, 2016
Dementia At Issue In Wells Fargo Arbitration
November 2, 2016
Wage Garnishments Are FINRA Smoke Signals
November 1, 2016
Champerty Found In $209 Million Notes Purchase by Cayman Shell from German Bank
October 31, 2016
Imposter Plays Flag Football With Broker Dealer Wire Transfer
October 25, 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
FINRA Cites Unfair ACAT Charge And Slow Transmittal of Funds
October 19, 2016
Merrill Lynch KO'd In $1.6 Million Note Arbitration
October 18, 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
Wall Street Regulation Understood Backwards
October 7, 2016
Veteran Wall Street Lawyer Bill Singer Cracks FINRA Code of Secrecy
October 3, 2016
Customer Twice Victimized By Broker's Impersonation and Online Disclosure
September 29, 2016
NY Life Rep Crosses Arbitration Rubicon With Expungement Case
September 28, 2016
UPDATE: SEC Settlement Gives Respondent 168 Years To Pay
September 26, 2016
Stockbroker Slips Off Plymouth Rock Movie Studio Deal
September 22, 2016
Wells Fargo's Stumpf Stumbles And FINRA Fumbles
September 21, 2016
GUEST BLOG: Who Is A Customer For Purposes of FINRA Arbitration Rule 12200 by Martin P. Unger Esq
September 16, 2016
Town Treasurer, Brokerage Financial Principal, Forged Checks, and Heroin for Sex
September 15, 2016
Former Schwab Stockbroker Obliterates Firm In Wrongful Solicitation Case
September 14, 2016
Ex-Wife Sues Wells Fargo Stockbroker Over Expert Witness Role In Divorce
September 13, 2016
SEC Begins Sexual Healing of Public Relations Sex Machine
September 8, 2016
California Court of Appeal Says FINRA Expungement Hearing Unfair
September 1, 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
FINRA Protective Order Addresses Private Confidential Information (PCI)
August 25, 2016
I Don't Want To Miss A Thing In Customer's Armageddon FINRA Arbitration
August 22, 2016
SEC Fines Company for Financial Disincentive Provision For Whistleblowers
August 18, 2016
SEC Splits Over CPA Bars For PCAOB Audit
August 15, 2016
The Stockbroker, Her Cancer Patient Friend and Customer, And The Estate Complaint
August 10, 2016
FINRA Pulls Over JP Morgan Broker In Luxury Car Biz
August 9, 2016
Citigroup Investment Banker Punished by FINRA for Good Deeds?
August 3, 2016
The Stockbroker, The Barred Customer, And The Sister-In-Law's Company
August 2, 2016
Lawsuit Pits Wrongful Termination Against Hyped Trailing Revenues
July 26, 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
Voyeurs In A Digital Age: In Memoriam, Nice, France
July 15, 2016
All Along The Wall Street Watchtower
July 14, 2016
Coscia Sentenced to 3 Years In First Spoofing Case
July 13, 2016
SEC Put Writing and Swap Case Slogs To Federal Courts
July 12, 2016
Bill Singer Supports ROBERT MUH for 2016 FINRA Small Firm Governor
July 11, 2016
A Message From STEPHEN KOHN Candidate for 2016 FINRA Small Firm Governor
July 11, 2016
Customer Lays $10 Million Egg in Charles Schwab Arbitration
July 7, 2016
Multiple Max Bialystocks in Movie Scam Indictment
July 6, 2016
Support ROBERT MUH for FINRA Small Firm Governor
July 5, 2016
Get On Board With New FINRA Rule 2273 Before You On-Board Registered Reps
July 1, 2016
Wedbush Ordered to Pay Attorneys Fees After Untimely Payment of Attorneys Fees
June 28, 2016
Homer Simpson, Killer Tomatoes, and SEC v. McDuff
June 27, 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
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
CCO Fined and Suspended For Missing Private Securities Transaction
June 14, 2016
In Memoriam for Orlando
June 13, 2016
SEC Crisis Response Criticized In Compelling Law Review Article
June 10, 2016
BrokerCheck Dispute Says FINRA Wrongly Says SEC Bar is Permanent
June 9, 2016
Rep Says Merrill Lynch Failed to Enroll Him In Deferred Comp Plan
June 7, 2016
Deutsche Bank Directors Indicted for LIBOR Fraud
June 6, 2016
Dirty Deeds Done Dirt Cheap On Wall Street
June 2, 2016
UBS Reversed $5 Million Unauthorized Order
June 1, 2016
The Paralysed Force of the SEC And Its Gesture Without Motion
May 31, 2016
Wordless Songs and the Sounds of Crickets on Wall Street
May 27, 2016
SEC Can't Reach Federal Inmate For Telephonic Hearing
May 26, 2016
Love And Marriage On Wall Street
May 25, 2016
FINRA Publishes Mitigation Statement in Elderly Client Conversion Case
May 23, 2016
UBS and Wells Fargo Wage Thumb Drive Warfare
May 20, 2016
Ameriprise Stockbroker Altered and Concealed Evidence in Consumer Arbitration
May 19, 2016
Americans for Financial Reform Protest Forced Consumer Arbitration
May 18, 2016
BREAKING NEWS: Bank of America Hit In Lurid Gender Pay Bias Lawsuit
May 17, 2016
BREAKING NEWS: Supreme Court Rules On Manning v. Merrill Lynch
May 16, 2016
Wedbush Didn't Know What It Lost Till Its Employee Was Gone to Stifel
May 16, 2016
Wells Fargo Employee Withdraws Money From Customers ATM Accounts
May 13, 2016
FINRA Wins Scottsdale Capital Advisors Motion to Dismiss
May 9, 2016
Mom, Sister-In-Law, Two Brothers, and Stock Proceeds
May 6, 2016
Pro Se Respondent Wins Appeal Of SEC ALJ Summary Disposition
May 6, 2016
Drop Phones and Kickbacks Cited in SEC ForceField Stock Promo Complaint
May 4, 2016
SEC Files Complaints Alleging Pump And Dump Scheme Involving Shell Company
April 27, 2016
Suspended HSBC Rep Pasted Clients Names Over His Utility Bill
April 15, 2016
The Bank Branch Manager, The Purported Customer, and the IRS Bounced Check
April 11, 2016
My Baby Sent Me A Letter But My Client Didn't
April 8, 2016
Pennystock Sponsored Content Fraud Ends With SEC Bars
April 7, 2016
Wall Street Banker's Travel Expenses Send Career Into Ditch
April 6, 2016
Hacking (Not Fracking) Gives Oil Industry Website Developer Gas Pains
April 4, 2016
Scottsdale Sues FINRA In Edgy Effort To Halt Disciplinary Case
March 28, 2016
Unsealed Iranian Indictment Is A Powerful Message, Or So They Say
March 25, 2016
UPDATE: Net Capital Violations Become Federal Criminal Case
March 23, 2016
Beal Street Blues After Employee Wins Unpaid Bonuses
March 17, 2016
$30 Million Claims By Former Wells Fargo Broker And Customer
March 11, 2016
Hiding In Plain Site: Undisclosed Criminal Past Was Undetected
March 10, 2016
Rochdale and Pershing Slugfest In $45 Million Rogue Trader FINRA Arbitration
March 9, 2016
Oh!!! Unauthorized Trading, Patti O'Furniture, And FINRA's BrokerCheck
March 3, 2016
SEC Cites Stockbroker Over Confidentiality of Inherited Accounts
March 2, 2016
LPL Loses Dramatic Employee Defamation Case
February 29, 2016
UPDATE: READ FULL-TEXT Apple Inc Motion To Vacate
February 25, 2016
You Hear The One About The Bleeding Guy in the Hospital Who Shot Himself?
February 25, 2016
Customer Gifts Shares To UBS Broker. FINRA Gifts Fine and Suspension to Rep
February 24, 2016
Stockbroker Fined and Suspended for Impersonating Mother, Wife, and Cousin
February 22, 2016
FULL TEXT Motion to Compel in Farook / Malik iPhone Case
February 19, 2016
UPDATE:Brokerage CEO Sentenced to Prison in Net Capital Case
February 19, 2016
SEC Settlement Shows Shameful State of Wall Street Research
February 18, 2016
SEC Settlement Gives Respondent 168 Years To Pay
February 17, 2016
UPDATE: SEC Inspector General Exonerates ALJ System
February 12, 2016
US Bancorp Investments Employment Dispute Ends With Mixed Result
February 11, 2016
UPDATE: Pro Se Respondent Battles SEC to Standstill
February 10, 2016
The Houston Terrorist and The Order On Ineptitude
February 9, 2016
CD War Between Securities and Exchange Commission and Federal Bureau of Prisons
February 8, 2016
FINRA Statement of Corrective Action Defamation Lawsuit Slams Brokerage Firm
February 5, 2016
Brokerage Firm Censured and Fined for Undetected Statutorily Disqualified Rep
February 3, 2016
Federal Appeals Court Says Mandatory FINRA Arbitration Isn't Necessarily So
January 29, 2016
Full Court Press Stuffs Tate "The Shot" George With 9 Year Personal Foul
January 25, 2016
Pro Se Respondent Battles SEC Bar To Standstill
January 20, 2016
Stockbroker Alters Customer Phone Numbers and Email Addresses
January 14, 2016
Mexico Security Concerns Posed Postal Risk For Brokerage Customer
January 11, 2016
Macquarie Pays $2.95 Million Blue Sheets Fine
January 6, 2016
Lord Voldemort, Merrill Lynch, Bank of America, and FINRA
December 30, 2015
FINRA and Smarsh Prevail In Spoliation Case
December 28, 2015
UPDATE: Bank Employee Charged With Illegal Access Of 730,000 Accounts
December 24, 2015
Merrill Lynch Stockbroker Beats Wells Fargo In Employment Dispute
December 23, 2015
The Merrill Lynch Stockbroker, the Deceased Mom, Her Son, And Transfer On Death
December 14, 2015
Digital Double Dip Tried With Wall Street Paychecks
December 11, 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
Short Trader's $106,000 GoFundMe Plea After Getting Clobbered by KBIO
November 19, 2015
$4.6 Million Elderly Ponzi Shell Game Ends With SEC Settlement
November 16, 2015
Pennystock Kickback Scheme Gets In Last Kicks at SEC
November 13, 2015
Net Capital Violations Become Federal Criminal Case
November 12, 2015
CASE IN POINT with Host Bill Singer and Guest JOSH BROWN
November 10, 2015
EMPLOYMENT TUESDAY at BrokeAndBroker.com . CASE IN POINT New Video Online: JOSH BROWN
November 10, 2015
Echoes of A Stockbroker's Mind For A Hacker On A Wire
November 9, 2015
Grandparents Victimized In Narcotics Bail Scam
November 6, 2015
VXX Vapid Hedge Rubs FINRA The Wrong Way
November 5, 2015
CASE IN POINT with BILL SINGER. New Episode Online. GUEST: Shah Gilani
November 3, 2015
EMPLOYMENT TUESDAY at BrokeAndBroker NEW VIDEO ONLINE at Case In Point with Bill Singer
November 3, 2015
Blank Checks From Elderly Couple Checkmate Stockbroker's Career
October 30, 2015
Hit And Run Wall Street Regulation Immunized In Goble and North American Appeal
October 23, 2015
RBC In Breathless Arbitration Over Zombies And Beauty Parlor Fumes
October 22, 2015
Stockbroker Fined and Suspended Over Limited Partnerships and Notes
October 21, 2015
Conspirators Indicted In Online Malware Attacks Against Financial Accounts
October 19, 2015
FINRA Hearing Panel Dismisses Private Offering Case
October 16, 2015
CASE IN POINT with Bill Singer Premieres Today. EMPLOYMENT TUESDAY at BrokeAndBroker.com
October 13, 2015
SEC Settles Prop Trading Spoofing Case
October 12, 2015
Morgan Stanley Client Service Associate Trips Over Wire Request
October 8, 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
Federal Appeals Court Calls Whistleblower Case Quite Silly
September 30, 2015
UPDATE: Polygraph Expert Says It Ain't Lying. It's Nervousness
September 28, 2015
Morgan Stanley Gives Employees Arbitration Choice: Say Nothing And You're Enrolled
September 23, 2015
FINRA Fines UBS Over Bloomberg Messages
September 16, 2015
Folded Note Found On Test Center Floor
September 14, 2015
Stockbroker Wins Expungement Over Annuities
September 4, 2015
The Ol' Variable Annuity Switcheroo
September 3, 2015
For Over, Under, Sideways, Down Markets -- Hold On
September 2, 2015
BREAKING STORY: Schwab Down
August 28, 2015
FULL TEXT Opinion in Barclays High Frequency Trading Case
August 27, 2015
SEC Denies Three Whistleblower Awards
August 26, 2015
Stockbroker Wins Customer Expungement Arbitration
August 21, 2015
SEC Takes On Federal Court In Dispute Over Whistleblower Interpretation
August 14, 2015
7 Year Arbitration Saga Ends In Ashes For Public Customers
August 13, 2015
Former Deutsche Bank LatAm Transactions Head Wins Millions In Whistleblower Retaliation Case
August 10, 2015
UPDATE: Former Stockbroker Sues FINRA Over Online Disclosure of 18 Year Old Settlement
August 7, 2015
FINRA Bars Top Producer For Charging Commissions Instead Of Fees
August 3, 2015
Software Glitch Overwhelms Firm's Email Review
July 23, 2015
Sharktopus Versus WhaleWolf Versus Sharknado (Bill Singer Cries for Help)
July 20, 2015
Website, Social Media, Fees,and Email Fall Off Compliance Officer's Radar
July 20, 2015
Over $3 Million Awarded by SEC to Whistleblower
July 17, 2015
FINRA BrokerCheck Under Attack By Investor Advocates
July 15, 2015
Sexual Orientation Harassment And Discrimination In Stifel Promissory Note Case
July 13, 2015
1 Registered Rep, 5 Days, and 9 NSF Checks
July 10, 2015
Stockbroker Husband Signs Insurance Loan for Wife But She Denies Authorization
July 9, 2015
UPDATE: Klaatu Barada New York Stock Exchange. 9 Year Old Saves NYSE SEE VIDEOS
July 8, 2015
Prop Trader Takes FINRA To The Mat And Wins
July 8, 2015
Former Employee Sues Firm For Unpaid Commissions
July 6, 2015
Grexit, Laurel & Hardy, George Bernard Shaw, And Bob Dylan
July 6, 2015
Third Party Wires Clothesline Scottrade In FINRA Settlement
July 1, 2015
SEC Commissioner Aguilar Says Commissioner Gallagher Wrong About Chief Compliance Officer Regulation
June 30, 2015
Law Professor FINRA NAC Member Files Defamation Complaint
June 29, 2015
Honor System Fails In FINRA Email Settlement
June 25, 2015
Time Has Come Today In Stockbroker Expungement
June 24, 2015
Notes In FINRA Test Center Earn Fine And Suspension
June 22, 2015
SEC Commissioner Gallagher Rages Against The Dying Light In Two Dissents
June 18, 2015
FULL TEXT Espinoza v. Dimon London Whale Shareholder Derivative Suit
June 17, 2015
Fed Court Says Nothing From Nothing Leaves Nothing In AIG Case
June 15, 2015
UPDATE: SEC Derails Scam Train On Trading Platform
June 15, 2015
Stockbroker Impersonates Customers During Phone Calls
June 11, 2015
Nasty FINRA Lawsuit Gets Nastier
June 10, 2015
Failed Email Review Offers Example Of Hidden Compliance Costs
June 5, 2015
Computer Glitch Overpays Stockbroker's Commissions
June 3, 2015
Study Guide Fails A Wannabe Stockbroker
May 29, 2015
FINRA Says Charity Does Not Begin At Home
May 28, 2015
JPMorgan Chase, Citigroup, Barclays, RBS, And UBS Seek SEC Reg D Waivers
May 21, 2015
UPDATE: Bill Singer's Ennui In Response To The DOJ FOREX Press Junket
May 20, 2015
Polygraph Expert Says It Ain't Lying. It's Nervousness
May 15, 2015
FINRA Wrestles With Serious,Aggravating, And Egregious Filing Failures For Forms U4 and BD
May 14, 2015
Sympathy For The Bankruptcy Devil In A FINRA Arbitration
May 8, 2015
FINRA Moves to Dismiss Spoliation Claims
May 5, 2015
SEC Denies Whistleblower Bounty to Claimant Seeking Five Awards
April 30, 2015
BREAKING NEWS: Supreme Court Vacates And Remands Mach Mining EEOC Case
April 29, 2015
Unapproved USB Use Upsets UBS
April 27, 2015
SEC Awards Compliance Officer Million Dollar Whistleblower Bounty
April 22, 2015
FULL TEXT Criminal Complaint in USA v. Sarao Flash Crash Case at BrokeAndBroker
April 22, 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
The Ponzi, The Inmate, And The SEC's 43,000 Pages In The Mail
April 16, 2015
SEC Commissioner Stein On Wall Street's Data Explosion
April 15, 2015
SEC Derails Scam Train On Trading Platform
April 13, 2015
SEC Whistleblower Program Is A Black Hole Of Despair
April 9, 2015
Regulatory Checkmate For Stockbroker
April 8, 2015
Federal Court Cites the Securities And Exchange Commission Dithering
April 6, 2015
SEC Settles With KBR On Effort To Impede Or Undermine Whistleblowers
April 2, 2015
The 100 Year Old Beneficiary, The Stockbroker Trustee, And The Current Former Customer
April 1, 2015
FINRA Suspends Broker Over Repaid Customer Loan
March 27, 2015
optionsXpress Out Of Email Options
March 26, 2015
Some Men The SEC Just Can't Reach
March 25, 2015
BREAKING NEWS Supreme Court Vacates / Remands Omnicare Registration Statement Case
March 24, 2015
Merrill Lynch Blindsided By Former Employee In Promissory Note Case
March 20, 2015
Former Lek Employee Suspended For Taking The Fifth At FINRA
March 16, 2015
Schwab Seeks $6 Million In Solicitation Dispute
March 12, 2015
SEC Declines To Stay FINRA Bars Pending Appeal
March 11, 2015
Stockbroker Sues Non Customer Customer Over Unproven Promissory Note
March 9, 2015
First SEC Whistleblower Bounty Awarded To Corporate Officer
March 3, 2015
SEC Operation Shell Expel Drains Reverse Merger Cesspool
March 2, 2015
Supreme Court Asks If A Fish Is Always A Fish Or Sometimes A Computer Hard Drive
February 26, 2015
SEC Nixes Reconsideration Of FINRA Client Files Case
February 25, 2015
Former Stockbroker Sues FINRA Over Online Disclosure of 18 Year Old Settlement
February 19, 2015
Stockbroker Selfies Are Regulatory Negatives
February 12, 2015
UBS Stockbroker Expungement in Lehman Bond Case
February 6, 2015
Is FINRA Actin' Kinda Shady In Naming (Or Not) Banks?
February 5, 2015
Lawsuit Says FINRA Guilty of Deliberate, Retaliatory,and Malicious Conduct
February 2, 2015
Unreasonable AML Policies Cited In Trading Platform Fraud
January 29, 2015
Wells Fargo Associate Duped By Email Scam
January 28, 2015
Jenny Don't Change, Rikki Don't Lose Your Clients' Numbers
January 15, 2015
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