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NOW LIVE! The Financial Professionals Coalition, Ltd. Marketplace
December 12, 2023
Double Standards In State Regulation and Self Regulation of Wall Street's Large Firms
November 20, 2023
UPDATE: Scrambling to Keep Pace With The SEC Unbearable Load of Rulemaking
October 17, 2023
Wall Street Regulators Provide Express Check-Out Line for Goldman Sachs
September 26, 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
A Not So Final Closing of the Purchase of a Broker Dealer
July 26, 2023
Federal Court Says Mere Email Noting Change of Employment Does Not Arise to Solicitation
July 18, 2023
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
SEC Orders FINRA to Raise Its Arbitration Forum Gate For Expungements
May 30, 2023
Light Bulbs, Coffee Cakes, and FINRA's Regulation of Stockbrokers Designated As Estate Beneficiaries
May 25, 2023
Questioning if Alleged Harm Was Irreparable, Federal Court Denies TRO
May 23, 2023
2Cir Remands to EDNY Disparate Sentence in Boiler Room Pumping
April 17, 2023
GUEST BLOG: [In]Securities: The Influencers: The SEC Grounds Stars' TRX by Aegis Frumento Esq
March 31, 2023
SEC Tells FINRA to Raise the Gate For Ineligible Expungement Case
March 23, 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
GUEST BLOG: [In]Securities: No Silver Linings for Silver Edge: How Not to Sell Pre-IPO Funds by Aegis Frumento Esq
March 10, 2023
The Financial Professionals Coalition: Join Us Today
March 8, 2023
Welcome to the BrokeAndBroker.com Blog and the Securities Industry Commentator Feed
March 1, 2023
Financial Professionals Coalition, Ltd. Announces Historic Launch
February 21, 2023
Calling All Unreasonable Financial Professionals
February 13, 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 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
Removal of FINRA Arbitrator Cited by Schwab and Interactive Brokers in HFT Customer Dispute
January 3, 2023
TD Ameritrade Escapes $1.7 In Damages But An Advisor Gets Slammed by FINRA Arbitrators
December 29, 2022
Intellivest Securities Hunts Down Raiders Who Allegedly Gutted The Brokerage Firm
December 12, 2022
FINRA Taxonomy News Release Isn't Newsworthy
October 28, 2022
Accessing FINRA Test Center Launch Codes With Colonel Mustard
October 26, 2022
Deferred Compensation Case Meanders to FINRA Arbitration to Federal Court to State Court to Dumpster
October 19, 2022
Keeping Up With Kenny -- Not the Kardashians
October 12, 2022
Wells Fargo Wins FINRA Arbitration Against Former Rep With Three On And Off Lawyers
September 21, 2022
BrokeAndBroker.com Hit With Second 2022 DMCA Takedown Notice After Prevailing in Same Dispute in 2020
September 16, 2022
10Cir Reinstates in Part La'Tonya Ford's Retaliation /Hostile Work Environment/Constructive Discharge Claims Against Jackson National
August 24, 2022
GUEST BLOG: [In]Securities: A Hard Rain's A-Gonna Fall: A Whistleblower Retaliation Case Washes Out by Aegis Frumento Esq
August 19, 2022
Barred Stockbroker Charged With Five Counts of Wire and Mail Fraud. Did Any Victim Do Any Due Diligence?
August 18, 2022
GUEST BLOG: [In]Securities: Lip Service: The SEC, Reg S-ID, and the Majestic Equality of Regulation by Aegis Frumento Esq
August 5, 2022
Georgia Court of Appeals Reverses Leggett v. Wells Fargo
August 3, 2022
GUEST BLOG: [In]Securities: Watching You: The SEC Walks the Beat by Aegis Frumento Esq
July 15, 2022
FINRA Arbitrators Hit Citigroup With $1.4 Million Damages For Discrimination, Harassment, and Retaliation
June 28, 2022
Edelman Financial Goes After Former Employee in Federal Court
June 27, 2022
JP Morgan Securities Sued for Over $10 Million in Team Dissolution FINRA Arbitration
June 22, 2022
Former Sales Manager Barred By FINRA After Assistant Takes His CE Training
June 9, 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
GUEST BLOG: Advisor Perspectives - An Interview with Recently Transitioned Advisors by Michael King of Michael King Associates
April 14, 2022
The Deceased Mother's IRA, Her Two Sons, Her Deceased Daughter, Her Son In Law, and A Messy Estate Dispute with T. Rowe Price
April 1, 2022
FINRA Arbitrators Hit Commonwealth Financial with Compensatory and Punitive Damages in Defamation Case
March 31, 2022
Arousing the Wrath of the Great and Powerful SEC and FINRA
March 28, 2022
Motion to Vacate FINRA Arbitration Award Fails To Raise Federal Jurisdiction
March 22, 2022
FINRA Arbitrators Award Over $2 Million In Disputed Customer Transfer and Asset Purchase Agreement
March 8, 2022
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
Federal Court Puts A Fork In Schottenstein FINRA Arbitration and Says It's Done
February 25, 2022
Federal Court Denies J.P. Morgan Securities Expedited Discovery in Solicitation Case
February 23, 2022
Customer Lawsuit Puts Robinhood In The News Again
February 15, 2022
Court Finds FINRA Arbitration Process Not Fundamentally Fair
February 4, 2022
JP Morgan Securities' Regional Director's Affidavit Fails to Carry Day in TRO for Impermissible Solicitation
January 25, 2022
FINRA Fines and Suspends Rep Over Undisclosed Elderly Widow's Will Bequest
January 24, 2022
FINRA Arbitration Award Limits Social Media Liking and Linking
January 18, 2022
FINRA Says It Had No Part In Deciding Schwab Customer Arbitration -- Seriously?
December 27, 2021
The Collision of the Inept With The Incompetent -- A Wall Street Compliance and Regulatory Tale
December 22, 2021
California Court of Appeal Retains State Court Jurisdiction of BTIG Employment Retaliation Lawsuit
December 8, 2021
The Ex-Wife, the Ex-Husband Stockbroker, the Two FINRA Arbitrations, the Stale Case, the Default Case, and the Appeal
November 17, 2021
No-Show FINRA Member Firm Loses Customer Arbitration But Where is FINRA When It Comes To Collecting on the Award?
November 2, 2021
No Margin For Error With Options Expiration
November 1, 2021
FINRA Arbitrators Revise Beneficiaries in Transfer on Death Accounts
October 27, 2021
There Was Little She Could Do -- So Why Was This BOM's Record Marked Up?
October 20, 2021
After Morgan Stanley Raised Serious Questions in Failed TRO Against Former Employee, The Parties Stipulate to Preliminary Injunction
October 19, 2021
Testimony Before the United States House of Representatives Committee on Financial Services by SEC Chair Gary Gensler
October 6, 2021
Veteran Wall Street Reform Advocate Bill Singer Esq. Renews Call for Antifraud Fund and PIABA FINRA Board Seat
October 1, 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
PIABA Wanted Live FINRA Arbitration (But Covid Had Other Plans)
August 19, 2021
Morgan Stanley Raises Serious Questions in Failed TRO Against Former Employee
August 11, 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
FINRA Arbitrators Directly Nullify Indirect Non Solicitation Agreement
July 13, 2021
GUEST BLOG [In]Securities: Tell Me Lies by Aegis Frumento Esq
July 9, 2021
Federal Court Puts the Confidential Back Into Confidential Settlement Agreement
July 2, 2021
The SEC Says Sponsored Research Didn't Disclose It Was Paid For
July 1, 2021
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
GUEST BLOG: FINRA Withdraws Proposed Expungement Rule by Nancy L. Hendrickson Esq
June 2, 2021
In Pandemic Times An SEC Investment Advisers Act Fraud Complaint Survives a Motion to Dismiss
May 14, 2021
Former Raymond James Rep Wins One and Loses One in Employment Disputes
May 6, 2021
The Elderly Customer, The Will, The Stockbroker, The Complaining Brother, And The Post-Mortem Wires and Checks
May 3, 2021
PIABA Wants Live FINRA Arbitrations And Wants It Now
April 28, 2021
The Trust, The Beneficiary, The Annuity, The Elderly Customer, and The Stockbroker
April 21, 2021
Desperately Seeking FINRA Arbitration On Remand From Federal Court
April 15, 2021
GUEST BLOG: Considering Breaking Away from a Wirehouse? The Pros and Cons of Going Independent by Michael King of Michael King Associates
April 1, 2021
Remember The Story About The Bernie Sanders Coffee Cup Filled With Feces At Cantor Fitzgerald?
March 25, 2021
11 Cir Sees No Breach of Contract by Ohio National in Variable Annuity Commissions Lawsuit
March 22, 2021
A Court Seems Unimpressed by Financial Exploitation of an Elderly Widow
March 10, 2021
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
An Elderly Grandma and Sister Who Wasn't and the New VA Beneficiaries
February 18, 2021
SEC Cites League of Extraordinary Advisers In Denying Waiver of Bar
February 17, 2021
Federal Court Grants Summary Judgment in Racial Discrimination Case Involving FINRA BrokerCheck
February 8, 2021
FINRA Expungement Takes on Aspects of a Psychiatric Case
February 2, 2021
FINRA Fines and Suspends Rep for Taking or Not Giving A Crap
January 19, 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
Federal Court Affirms Merrill Lynch Victory in Nigerian Discrimination Case
December 22, 2020
Federal Court Says Former Morgan Stanley Advisor's Discrimination Claims Are Time Barred
December 18, 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 [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
Identities of SEC Whistleblower and Respondent Bank Outed
November 12, 2020
The Investment Banker, His Friend, the Friend's Holding Company, and the Two Deals
November 4, 2020
DC Circuit Court Sustains SEC Orders Against Thaddeus North
October 27, 2020
JP Morgan Securities Whiffs In FINRA Arbitration Against Raymond James and Three Former Employees
October 26, 2020
Russians Launch Cyberspace War and BREAKING STORY: US v. Google
October 20, 2020
Former Cetera Rep Sues AdvisorNet Financial Over Alleged Supervision and Compliance Failures
October 8, 2020
[In]Securities Guest Blog: tZero/No Limit by Aegis Frumento Esq
September 25, 2020
Federal Court Affirms Federal Jurisdiction in FINRA Arbitration Appeal
September 17, 2020
FINRA Imposes Fine and Suspension Over Deceased Second Cousin Once Removed
September 11, 2020
UPDATE: E Pur Si Mouve, Idioti! (Or So An SEC ALJ Should Mutter)
September 8, 2020
GUEST BLOG: Bill Singer Talks To Industry Recruiter Michael King of Michael King Associates
September 2, 2020
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
Statistical Voodoo in the 2020 FINRA Industry Snapshot Report
August 3, 2020
Dubious FINRA Study Finds Female Arkansas Prison Inmates Are Usually Poor and Financially Illiterate
July 24, 2020
Bridgewater Over Troubled FINRA Waters
July 15, 2020
UPPER CASE MESSAGES!!! EXCLAMATION POINTS!!! AND A FINRA FINE AND SUSPENSION!!!
June 26, 2020
Marilyn Booker v. Morgan Stanley & Co., LLC, James Gorman, and Barry Krouk: FULL TEXT COMPLAINT
June 17, 2020
Rep's Wife and Adult Children Named as Elderly Customer's Insurance Beneficiaries
June 16, 2020
What Presidential Sounds Like
June 8, 2020
Federal Courts Grapple With Former TIAA Advisor's Racism and Retaliation Charges
June 2, 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
[In]Securities Guest Blog: Troubled Water Over the Bridge by Aegis Frumento Esq
May 14, 2020
[In]Securities Guest Blog: Small Worlds by Aegis Frumento Esq
April 16, 2020
Texas Court of Appeals Reverses $3 Million TD Ameritrade Customer Victory
April 15, 2020
We Will Prevail: Compassion, Sacrifice, and Endurance
March 20, 2020
Thought And Preparation In Wall Street Plague Time
March 11, 2020
FINRA Arbitrators Award Damages To Customer But Offset With Award to Stockbroker
March 6, 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
[In]Securities Guest Blog: Driving That ESOP Trolley by Aegis Frumento Esq
January 23, 2020
Prudential Wins Dismissal of Tortious Interference Claim
January 22, 2020
In Today's Securities Industry Commentator
January 21, 2020
In Today's Securities Industry Commentator
January 15, 2020
Ameriprise Didn't Know When To Fold In Terminally Ill Customer Case
January 14, 2020
[In]Securities Guest Blog: Born to be Wild by Aegis Frumento Esq
January 9, 2020
Synapse Financial Technologies Sued For Harassment, Discrimination and Retaliation
December 10, 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
He Fought The Law And The Law Won . . .Tied . . . Lost?
November 25, 2019
[In]Securities: Who'll Be Watching Whom? by Aegis Frumento Esq
November 21, 2019
FINRA Addresses Light Bulb and Coffee Cake Abuses
November 15, 2019
E Pur Si Mouve, Idioti! (Or So An SEC ALJ Should Mutter)
November 1, 2019
[In]Securities Guest Blog: Everybody Knows by Aegis Frumento Esq
October 31, 2019
What's Olde Isn't Necessarily New in the Digital Age
October 22, 2019
The Wall Street Simulacrum of Regulation (Now Online and in Video Format)
October 14, 2019
Does Your Brokerage Contract Bite?
October 9, 2019
Getting the Girl to Do It On Wall Street
October 4, 2019
Astounding 20 Criminal, Regulatory, and Compliance Cases Featured in Securities Industry Commentator
October 1, 2019
Client Associate Takes 4 Years of Rep's CE
September 24, 2019
FINRA's JPM Omelet Ends With Egg On the Regulator's Face
September 17, 2019
Court Allows Wells Fargo Stockbroker to Contact Former But Not Current Clients
September 10, 2019
Day Tripper Barred by FINRA For Bogus Travel Reimbursements
August 22, 2019
Federal Court Grapples With Compliance Officer's Whistleblowing to FINRA
August 14, 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
GUEST BLOG: Pursuing America by Aegis Frumento Esq
July 3, 2019
The Wife, The Husband, The Divorce, Edward Jones, The Stockbroker, and The Messy FINRA Arbitration
June 26, 2019
GUEST BLOG: Gotta Serve Somebody by Aegis Frumento Esq
June 20, 2019
Comerica Securities Tells Suing Customers It Ain't Me, Babe
June 12, 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
GUEST BLOG: FINRA Chokes on a Smoking Ear by Aegis Frumento Esq
May 23, 2019
Fancy Colored Diamonds, Ponzi Cryptocurrency Biz, and A Whole Lot of Victims
May 21, 2019
Bottle of White, Bottle of Red, Perhaps An Assisted Living Bond Instead at FINRA Arbitration
May 3, 2019
Federal Court Remands SEC's Willfulness Findings in Robare Form ADV Case
May 1, 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
GUEST BLOG: Inversions by Aegis Frumento Esq
April 11, 2019
Death Craps Out With Viatical Settlement Dice
April 9, 2019
FINRA Fines and Suspends Rep for Emailing Confidential Info Of 1,696 Plan Participants
April 3, 2019
GUEST BLOG: Bitwise and Fund-Foolish by Aegis Frumento Esq
March 28, 2019
Edelman Financial Services Loses Non-Solicit Non-Disparagement Case
March 22, 2019
FINRA Suspends CEO and CCO Over Failed Supervision of Exotic ETFs
March 20, 2019
Stockbroker Only One Call Away From FINRA Fine and Suspension
March 1, 2019
Sexism on Wall Street: New Chapter, Same Book
February 8, 2019
The Errors on the Whited-Out Variable Annuity Form and FINRA's Fine and Suspension of a Supervisor
February 6, 2019
BREAKING NEWS: Roger Stone Jr. Indicted on Obstruction, False Statements, and Witness Tampering
January 25, 2019
GUEST BLOG: Tucker Carlson, AOC, and the 70% Tax Rate by Aegis Frumento Esq
January 10, 2019
Unstrained Mercy Gently Rains Down After FINRA Bar
January 4, 2019
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
Hymn for the Missing FINRA Public Customer Claimant
December 18, 2018
GUEST BLOG: Beta Blockers by Aegis Frumento Esq
December 13, 2018
The Failure of Wall Street Compliance and Regulation: A Case In Point
December 12, 2018
Former First Republic Securities Employee Wins $1.1 Million FINRA Arbitration Award
December 4, 2018
Two Deceased Customers,Their Stockbroker, A POA, A TOD Account, And a Bar
December 3, 2018
Son Calls FINRA Senior Helpline About Trading In Mom's Account
November 27, 2018
Getting Stoned Takes On New Meaning Plus Bonus Grandparent Alert
November 21, 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
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
GUEST BLOG: The Million Dollar Bottle by Aegis Frumento Esq
October 18, 2018
The Stockbroker, His Wife, 3 Customers, 3 Healthcare Proxies, 1 Trust, and 1 IRA
October 5, 2018
11th Circuit Rejects Mandatory FINRA Arbitration By Customers
September 25, 2018
Public Customer, Brokers, and Brokerage Firm Spit Nails, Eat Lightning, and Crap Thunder
September 24, 2018
UPDATE: 11Cir Sustains SEC and FINRA On Willful Failure to Disclose Tax Liens
September 21, 2018
SEC Severely Reduces Whistleblower Award for Unreasonable Filing Delay
September 17, 2018
Mean Spirited FINRA Must Respect Membership Median
August 10, 2018
Where There's A Will, FINRA Says No Way!
August 9, 2018
FINRA's Innovation Outreach Initiative and Fifth Harmony Taxonomy As Utilized in Fintech AI
July 31, 2018
The 93 Year Old Customer with Dementia, The Guardian, The Stockbroker, and the Compliance Officer
July 30, 2018
FINRA Arbitrators Award Commission to Associated Person For Raising Capital for Customer
July 26, 2018
Variable Annuities And Wall Street's Jurassic World
June 25, 2018
SEC Chairman Jay Clayton: The Devil We Know Champions Main Street
June 22, 2018
BREAKING NEWS: Lucia v. SEC / Supreme Court Finds SEC ALJs Unconstitutional
June 21, 2018
A Suicide on Wall Street -- and -- The Human Factor on Wall Street
June 15, 2018
The Human Factor On Wall Street
June 14, 2018
GUEST BLOG: A Suicide on Wall Street
June 13, 2018
As the FINRA WORM Turns
May 25, 2018
Busted Out Credit Cards Bust Defendants
May 24, 2018
Stormy Daniels Issue Hits FINRA Arbitration Remand
April 4, 2018
Federal Courts Wrestle With Opening Doors To US Courthouse to KOSPI Class Action
April 2, 2018
Wells Fargo Whistleblower Yesenia Guitron Wins James Madison Freedom of Information Award
March 30, 2018
FINRA Arbitration Panel Divines Intent of Deceased In Dividing Account Assets
March 29, 2018
Merrill Lynch Employee and AllianceBernstein Work It Out In Unfair Competition Dispute
March 16, 2018
Disturbing FINRA Settlement Involving Elderly Client With Dementia
March 13, 2018
Bill Singer Esq Comments on FINRA Notice To Members 18-08: Outside Business Activities
March 7, 2018
Wells Fargo Sustains Stunning Promissory Note Loss
February 26, 2018
Customer Appeals Wells Fargo Arbitration Loss To Federal Court
February 21, 2018
In Memoriam: Marjory Stoneman Douglas High School, Parkland, Florida.
February 15, 2018
Rankles Raised In FINRA Expungement
February 8, 2018
GUEST BLOG: The Department of Justice's Coming Out Party by Darrell Whitman
February 6, 2018
Abuse And Harassment On Wall Street
January 25, 2018
FINRA Fines Firm When Unregistered Principal Acted Presidential
January 17, 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
Season's Greetings From FINRA. You're Fined and Suspended. Ho, ho, ho.
December 12, 2017
The Damnatio Memoriae of Former SEC Counsel Rory Flynn
December 11, 2017
FINRA Arbitrator Gets By With A Little Help of A Friend
November 30, 2017
DOL Whistleblower Darrell Whitman Files Emergency Request with US Office of Special Counsel
November 24, 2017
97 Year Old Client Names Stockbroker Executor and Beneficiary
November 10, 2017
Five Not So Easy Thought Pieces About Pro Se FINRA Arbitration
November 9, 2017
FINRA Hides The Name of An Affiliated Bank
October 27, 2017
Delayed Resignation,Twitter,and Email Get Stockbroker Fined and Suspended
October 26, 2017
Too Many Questions In Edward Jones TOD Account FINRA Arbitration
October 24, 2017
SEC Sustains FINRA On Willful Failure to Disclose Tax Liens
October 2, 2017
Lawyers Cast Aspersions In Nasty FINRA Arbitration Involving Divorced Couple
September 22, 2017
Wachovia Customer Sues Wells Fargo Over FundSource Losses
September 20, 2017
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
September 16, 2017
RIA Cherry Picking Case Rings Alarm (Anyone Listening?)
September 15, 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
SEC Case Against S&P Duka Fizzles Out
August 30, 2017
Sewage Release By Wall Street Regulators
August 24, 2017
Newman and Salman Come Into Play With Conradt Appeal
August 23, 2017
FINRA Public Customer Arbitration Decision Becomes A Legend
August 23, 2017
7th Circuit Affirms Spoofing Conviction
August 16, 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
Chia Hair Plugs and 100% Principal Protected Lehman Brothers Notes
August 3, 2017
UBS v. Fiore: Let The Games Begin
July 27, 2017
I Scream, You Scream, FINRA Screams for Ice Cream
July 18, 2017
Let There Be Songs To Fill The Air
July 3, 2017
Wall Street Whistleblower Johnny Burris Speaks Truth to Power
June 30, 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
FINRA Buries the Lede With FAS Rep Settlement
June 26, 2017
FINRA Fines And Suspends Husband For Adding His Wife As Customer's Annuity Beneficiary
June 20, 2017
UPDATE: Potentially Dubious Flexible Rescheduling Of SEC Hearing And Awry,Alaska Cruise
June 14, 2017
FINRA's Willy Nilly Tax Lien Settlements
May 25, 2017
SEC Issues Historic Stay of ALJ Initial Decisions
May 24, 2017
Potentially Dubious Flexible Rescheduling of SEC Hearing
May 19, 2017
FINRA Says That's Not How To Keep HSBC Customers Satisfied
May 18, 2017
The Elderly Edward Jones Client, His Account, His Will, His Stockbroker, and The Broker's Wife
May 15, 2017
Stunning $413,000 Award to Wells Fargo Employee in Broker Protocol Case
May 5, 2017
FINRA Arbitrator Tosses Stale Wells Fargo Customer Case
May 4, 2017
ALJ Weighs Dilemma of Sanctions Versus Punishment For Transfer Agent
May 3, 2017
FINRA's Three Handed Monster of a Settlement
April 25, 2017
SEC ALJ Initial Decision Dismisses Insider Trading Case
April 19, 2017
FINRA Settles With Advisor Who Acted as POA and Health Surrogate
April 18, 2017
FINRA Fines and Suspends Rep For Customer Borrowing
April 13, 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
$9 Million Diamond Fraud Detailed in Unsealed Criminal Complaint
April 5, 2017
Where There's Willfulness There's No Way At FINRA
March 28, 2017
Damnable Costs of FINRA Expungement
March 20, 2017
GUEST BLOG: Breaking Fake News / THE FIDUCIARY DUTY RULE IS DEAD!!
February 23, 2017
Investment Adviser Charged With Fake Withdrawals and Forgeries
February 22, 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
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
POSITION AVAILABLE: Broker Dealer Compliance Consultant
January 20, 2017
FINRA NAC Member Brummer Files Amended Defamation Complaint
January 19, 2017
SEC ALJ Says Bandimere Notwithstanding. And So It Goes. And So It Goes
January 16, 2017
FINRA Says Call It A Loan On A Debt That You Owe
January 13, 2017
SEC Settles 3 RIA Referral Fees Cases
January 11, 2017
UPDATE: In Face Of Split Circuits, SEC ALJ Rules Because We Say So
January 10, 2017
FINRA Arbitrators Slam Wedbush In Pay Dispute
January 10, 2017
SEC Opts For Intercircuit Nonacquiescence
January 9, 2017
In Face Of Split Circuits, SEC ALJ Rules Because We Say So
January 6, 2017
A FINRA Settlement Asks How Long Is Too Long? When Is Enough Enough?
January 3, 2017
UPDATE: SEC Proceeding Is A Travesty of a Mockery Of a Sham of a Mockery of a Travesty of Two Mockeries of a Sham
December 26, 2016
SEC Shuts Down RIA Cherry Picking
December 21, 2016
Donald Trump, Boeing, And FINRA Fixed Income Fair Charges
December 12, 2016
Stockbroker Repays Client Loan But Ends Up In Trouble
December 9, 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
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
SEC Sends Second Valentine Message Not Filled With Love
October 28, 2016
FINRA Cites Unfair ACAT Charge And Slow Transmittal of Funds
October 19, 2016
Safeguarding Retirees from Getting Cheated out of Their Social Security Payments
October 14, 2016
Wall Street Regulation Understood Backwards
October 7, 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
Customer Twice Victimized By Broker's Impersonation and Online Disclosure
September 29, 2016
UPDATE: SEC Settlement Gives Respondent 168 Years To Pay
September 26, 2016
Ex-Wife Sues Wells Fargo Stockbroker Over Expert Witness Role In Divorce
September 13, 2016
The Best Offense Is A Good Defense
September 9, 2016
SEC Begins Sexual Healing of Public Relations Sex Machine
September 8, 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
The Gilligan's Island Iliad Odyssey of a FINRA Customer Arbitration
August 30, 2016
Compliance Is A Sentence, Not A Word
August 26, 2016
FINRA Protective Order Addresses Private Confidential Information (PCI)
August 25, 2016
FINRA Settlement Enters the RIA and BD Jungle
August 23, 2016
SEC Fines Company for Financial Disincentive Provision For Whistleblowers
August 18, 2016
SEC Splits Over CPA Bars For PCAOB Audit
August 15, 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
Citigroup Investment Banker Punished by FINRA for Good Deeds?
August 3, 2016
FINRA Says It's A Matter of Trust Or Is That Trustee?
July 29, 2016
Brokerage Firm Demands $2.6 Million Damages From Former Employees
July 28, 2016
Wells Fargo Customer Wins $181,000 For Failure to Cash Out
July 25, 2016
Do I Need to Notify the DOL About My RIA's Reliance on the Best Interest Contract Exemption?
July 18, 2016
Coscia Sentenced to 3 Years In First Spoofing Case
July 13, 2016
SEC Put Writing and Swap Case Slogs To Federal Courts
July 12, 2016
Multiple Max Bialystocks in Movie Scam Indictment
July 6, 2016
Get On Board With New FINRA Rule 2273 Before You On-Board Registered Reps
July 1, 2016
Wedbush Ordered to Pay Attorneys Fees After Untimely Payment of Attorneys Fees
June 28, 2016
Take What You Have Gathered From Coincidence In Oral Advisory Fee Agreement
June 22, 2016
CCO Fined and Suspended For Missing Private Securities Transaction
June 14, 2016
SEC Crisis Response Criticized In Compelling Law Review Article
June 10, 2016
The Paralysed Force of the SEC And Its Gesture Without Motion
May 31, 2016
SEC Can't Reach Federal Inmate For Telephonic Hearing
May 26, 2016
Americans for Financial Reform Protest Forced Consumer Arbitration
May 18, 2016
Columbia Business School Professor Gets Prison For investor Fraud
May 18, 2016
Wedbush Didn't Know What It Lost Till Its Employee Was Gone to Stifel
May 16, 2016
FINRA Sanctions Stockbroker's Loans From Mom, Friend and Friend's Wife
May 11, 2016
Wall Street Critic Bill Singer Revisits His 2009 Reform Proposals
April 22, 2016
Suspended HSBC Rep Pasted Clients Names Over His Utility Bill
April 15, 2016
FINRA Arbitrators Deal With Vague And Ambiguous Employment Agreements
April 1, 2016
Curious Case Of A Wall Street Wrongful Resignation Lawsuit
March 14, 2016
$30 Million Claims By Former Wells Fargo Broker And Customer
March 11, 2016
SEC Stops Blue Mountain S-1 Registration
March 7, 2016
SEC Cites Stockbroker Over Confidentiality of Inherited Accounts
March 2, 2016
Borrowing From Customer, Tax Liens, Settling Away,Social Media, And More!
February 26, 2016
Stockbroker Fined and Suspended for Impersonating Mother, Wife, and Cousin
February 22, 2016
SEC Settlement Gives Respondent 168 Years To Pay
February 17, 2016
FINRA Fines And Suspends Rep For Service as Director
January 22, 2016
Lord Voldemort, Merrill Lynch, Bank of America, and FINRA
December 30, 2015
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
SEC Reversed ALJ But Federal Court Reverses SEC
December 21, 2015
Artwork Purchases and Charitable Donations Cited In FINRA Settlement
December 10, 2015
Yabba Dabba Doo In Unbeknowst FINRA Embezzlement AWC
December 2, 2015
Stockbroker Fined And Suspended In Email Transfer of Customer Info From Merrill To Ed Jones
November 18, 2015
Down-Low Download Of Contact Information Sends Stockbroker Offline
October 28, 2015
FINRA Hearing Panel Dismisses Private Offering Case
October 16, 2015
SEC Settles Prop Trading Spoofing Case
October 12, 2015
Bank Employee Charged With Illegal Access of 730,000 Accounts
October 7, 2015
2015 NASAA Investment Advisors Report Shows Improvement
October 6, 2015
Another Wall Street Fall Girl Takes A FINRA Flop
September 25, 2015
Insider Trading Case Collapses Over Personal Benefit Proof
September 15, 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
The Ol' Variable Annuity Switcheroo
September 3, 2015
SEC Takes On Federal Court In Dispute Over Whistleblower Interpretation
August 14, 2015
Former Deutsche Bank LatAm Transactions Head Wins Millions In Whistleblower Retaliation Case
August 10, 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
FINRA BrokerCheck Under Attack By Investor Advocates
July 15, 2015
SEC Commissioner Aguilar Says Commissioner Gallagher Wrong About Chief Compliance Officer Regulation
June 30, 2015
BREAKING NEWS: Supreme Court Rules On Gay Marriage
June 26, 2015
Tryin' To Loosen My Load, I've Got 7 SEC Lawyers On My Mind
June 26, 2015
Fines and Suspensions For Brokers In Sales Quota Sham
June 8, 2015
Hundreds of Thousands Defrauded In $50 Million Text Messaging Scam
May 29, 2015
BREAKING NEWS: Supreme Court Rules on 401(k) Plan Prudent Management
May 18, 2015
FINRA Moves to Dismiss Spoliation Claims
May 5, 2015
FINRA Named As Defendant In Case Alleging Altered Electronic Files
April 24, 2015
SEC Awards Compliance Officer Million Dollar Whistleblower Bounty
April 22, 2015
FINRA Arbitrators Say Ineffective Fiduciary Did Not Breach Fiduciary Duty
April 17, 2015
SEC ALJ Corrects Dollars And Dates But Not Derision
April 15, 2015
FULL TEXT Complaints And Answers in Pao v. Kleiner Perkins
March 27, 2015
BREAKING NEWS Supreme Court Vacates / Remands Omnicare Registration Statement Case
March 24, 2015
FINRA Fines Firm For Miscommunication Between Compliance And Payroll
March 13, 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
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