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Topic List for Ic (568 results)
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
The Regulatory Hypocrisy of the SEC's New Clearing Agency Governance and Conflicts Rules
November 16, 2023
Quantum Physics and FINRA's Inability to Tally the Votes of Its Board Elections
November 2, 2023
The Frustrations And Atrocities Experienced by Merrill Lynch Customers
October 12, 2023
Federal Court Denies Kim TRO and Injunction Against FINRA Enforcement Action
October 10, 2023
UPDATE: Bill Singer, Esq. Files Form TCR with SEC Seeking Investigation of FINRA Election Interference
August 29, 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
Grandchildren Should Have Bought Decoder Ring to Decipher FINRA Arbitration Award
July 17, 2023
Court Denies Vacatur of Over $2 Million FINRA Arbitration Award Involving Disputed Customer Transfer and Asset Purchase Agreement
June 21, 2023
Federal Circuit Court Says Price Isn't Right In UBS Whistleblower Retaliation
June 7, 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
FINRA Pulls Its Punches In Felony Non-Disclosure Settlement
May 22, 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
2Cir Remands to EDNY Disparate Sentence in Boiler Room Pumping
April 17, 2023
Pro Se Registered Respondent A No Show At Arbitration Involving Cambridge Capital Group
April 10, 2023
FINRA's Travesty of a Transamerica Settlement
March 13, 2023
FINRA Arbitrator Denies Indemnification Citing Firm's Failure to Supervise
February 6, 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
Did You Hear The One About The Zombie Who Requested An IRA Distribution?
January 9, 2023
FINRA Sued in the Wrong Place At the Wrong Time Affirms Federal Circuit Court
December 21, 2022
Intellivest Securities Hunts Down Raiders Who Allegedly Gutted The Brokerage Firm
December 12, 2022
Brokerage Firm Sues Former Stockbroker for Indemnity After Paying Customer Settlement
November 17, 2022
To Err Is Human. To Forgive Is A FINRA Fine.
November 14, 2022
Deferred Compensation Case Meanders to FINRA Arbitration to Federal Court to State Court to Dumpster
October 19, 2022
Beating a Dead Statutorily Disqualified Horse on Wall Street
October 17, 2022
SEC Four-Year Strategic Plan Is Generic, Non-Specific, Drivel
September 30, 2022
SEC Hides Disqualification Waiver Order In High Profile Recordkeeping Release
September 28, 2022
BrokeAndBroker.com Hit With Second 2022 DMCA Takedown Notice After Prevailing in Same Dispute in 2020
September 16, 2022
Federal Court Denies JPMorgan TRO Against Former Employee But Grants Expedited Discovery
September 15, 2022
GUEST BLOG: [In]Securities: Trading Cards as a Meditation: Are NTFs Securities? by Aegis Frumento Esq
September 9, 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
Overtime at Merrill Lynch Prompts Uneven-Handed FINRA Regulation
August 12, 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
Absurd SEC Staff Bulletin Warns Industry To Adjust To Known Variables And Be Flexible
August 4, 2022
Equity And Justice Prevail In Breathtaking FINRA Expungement Award
August 1, 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
FINRA Arbitration Combines Circular Logic With a Nested Loop and a Mobius Strip in Wage Dispute
July 18, 2022
Edelman Financial Goes After Former Employee in Federal Court
June 27, 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
J.P. Morgan Securities Demolished In FINRA Non-Solicitation Arbitration
June 6, 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
FINRA Is Aligning Its MAP CAIF Grouping Model With Firm Tofu And Feedback -- or so it seems
April 21, 2022
GUEST BLOG: Advisor Perspectives - An Interview with Recently Transitioned Advisors by Michael King of Michael King Associates
April 14, 2022
For a Second Time, Federal Court Says Price Isn't Right In UBS Whistleblower Retaliation
April 11, 2022
Former Morgan Stanley Rep Should Count His FINRA Settlement Blessings
April 11, 2022
The 90 Year Old Customer, The Trust Account, Merrill Lynch, the Asset Sale, and the Margin Trade
April 7, 2022
SEC Slaps Generic, Non-Specific Whitewash Over Database Scandal
April 6, 2022
FINRA Sued in the Wrong Place At the Wrong Time
April 5, 2022
The Deceased Mother's IRA, Her Two Sons, Her Deceased Daughter, Her Son In Law, and A Messy Estate Dispute with T. Rowe Price
April 1, 2022
FINRA Arbitration Claimant Asks Federal Court to Appoint Counsel
March 29, 2022
Stockbroker Wins Expungement of Two Edward Jones Customer Complaints
March 24, 2022
Motion to Vacate FINRA Arbitration Award Fails To Raise Federal Jurisdiction
March 22, 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
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
SEC Director Calls Awkward Football Audible During Wall Street Gamification Bowl
February 14, 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
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
How Many FINRA Enforcement Lawyers Does It Take To Prosecute a Default Case?
January 10, 2022
The Collision of the Inept With The Incompetent -- A Wall Street Compliance and Regulatory Tale
December 22, 2021
FINRA Arbitrator Won't Rewrite Indemnification Clause
December 20, 2021
FINRA Arbitrators Award $1 In Response to $1 Million In Damages Sought (Sort of)
December 13, 2021
The Prolonged Saga of In re Goldman Sachs Group, Inc.
December 9, 2021
Did You Hear About The FINRA Arbitration Against Fidelity For Dental Pain and Suffering?
December 1, 2021
Appellate Court Affirms $11.5 Million in Damages and Costs in Employment Defamation Case
November 23, 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
DreamFunded Dream Faded At FINRA And SEC Declines to Stay Expulsions and Bars
November 15, 2021
No-Show FINRA Member Firm Loses Customer Arbitration But Where is FINRA When It Comes To Collecting on the Award?
November 2, 2021
Stipulated Arbitration Award Ends TD Ameritrade Solicitation Dispute
October 28, 2021
FINRA Arbitrators Revise Beneficiaries in Transfer on Death Accounts
October 27, 2021
After Morgan Stanley Raised Serious Questions in Failed TRO Against Former Employee, The Parties Stipulate to Preliminary Injunction
October 19, 2021
FINRA, FinCen, Networks, Authorities, Priorities, Statements, Guidance, AML, CFT, BSA, and NBFI
October 14, 2021
Testimony Before the United States House of Representatives Committee on Financial Services by SEC Chair Gary Gensler
October 6, 2021
FINRA NAC Affirms OHO But Eliminates Heightened Supervision
October 4, 2021
FINRA, Crypto, Covid, and Outside Business Activities
September 22, 2021
FINRA Fines and Suspends Young Merrill Trader For Spoofing Treasuries
September 14, 2021
The SEC Is Asked to Go Back To The Future to Rewrite History
September 2, 2021
FINRA Fines and Suspends Rep Over False Attestations Involving an Elderly Widow's Beneficiary Designation
September 1, 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
The Unsecured Convertible Note, The FINRA CMA, The Pro Se Plaintiff, The Federal Complaint, and the Legal Clinic
August 17, 2021
Morgan Stanley Raises Serious Questions in Failed TRO Against Former Employee
August 11, 2021
A Free Credit Card Prompts a Costly Expungement
August 5, 2021
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
GUEST BLOG [In]Securities: Everybody Knows by Aegis Frumento Esq
July 23, 2021
FINRA Fines and Suspends Rep For Seeking COVID Loan
July 22, 2021
FINRA Sanctions CCO/AMLCO Over Microcap Red Flags And Private Placement Disclosures
July 21, 2021
GUEST BLOG: Transitioning to Independence by Michael King of Michael King Associates
July 16, 2021
FINRA Arbitrators Directly Nullify Indirect Non Solicitation Agreement
July 13, 2021
Wasted Time By FINRA Regulatory Notice
July 12, 2021
Chase Investment Services Says Former Employee Raised Inadmissible Settlement Communication
July 8, 2021
FINRA Sanctions Rep and Sanctuary Securities Over NT-ETFs
July 7, 2021
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
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
The Vanguard Customer Didn't Ask, Didn't Listen, But The Firm's Voicemail Sucks
May 20, 2021
FINRA Publishes Helpful Notice About Online Account Takeover (ATO)
May 17, 2021
In Pandemic Times An SEC Investment Advisers Act Fraud Complaint Survives a Motion to Dismiss
May 14, 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
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
Wall Street Compliance Professionals Need FINRA Like A Heart Attack
April 22, 2021
The Trust, The Beneficiary, The Annuity, The Elderly Customer, and The Stockbroker
April 21, 2021
Insult Added to Injury in Puerto Rico Bond Dispute
April 16, 2021
Desperately Seeking FINRA Arbitration On Remand From Federal Court
April 15, 2021
These Foolish Things Remind Me of FINRA
April 14, 2021
GUEST BLOG: Considering Breaking Away from a Wirehouse? The Pros and Cons of Going Independent by Michael King of Michael King Associates
April 1, 2021
11 Cir Sees No Breach of Contract by Ohio National in Variable Annuity Commissions Lawsuit
March 22, 2021
FINRA Notice Reminds Firms Of Obligation To Thoughtfully Craft Strong Rules In Advance
March 19, 2021
Vanguard Compliance Manager Submits Altered and Fabricated Documents to FINRA
March 3, 2021
FINRA Censures and Fines Securities America Over Outsourced Onboarding
March 2, 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
An Elderly Grandma and Sister Who Wasn't and the New VA Beneficiaries
February 18, 2021
NEWSFLASH: FINRA Observes Bad Actors In the Markets
February 11, 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
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
GUEST BLOG [In]Securities: A Worried Song By Aegis Frumento Esq
January 22, 2021
Untimely Disclosure of Tax Liens Upends Chief Compliance Officer Via Statutory Disqualification
January 6, 2021
Last Dance for FINRA's Zipper? Nope, SEC Says Let's Do It Again
December 28, 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
After Midnight It All Hangs Out In Morgan Stanley Arbitration
December 14, 2020
Schemes From a California Restaurant
December 7, 2020
Customer's Annuities Lawsuit Backfires During FINRA Arbitration
December 4, 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
Frail, Ineffective OCIE Statement About Complex Financial Products
November 23, 2020
GUEST BLOG: Bill Singer Talks To Industry Recruiter Michael King of Michael King Associates
November 19, 2020
Who Knows Where The Time Goes With Former JP Morgan Rep's FINRA AWC
November 18, 2020
Federal Court Dismisses Challenge to Six Year Old FINRA AWC
November 11, 2020
FINRA Turns 300 Orally Authorized Trades Into 300 Trades Of Unauthorized Discretion
October 30, 2020
California Court of Appeal Holds Its Ground After Rehearing Tilkey v. Allstate
October 28, 2020
DC Circuit Court Sustains SEC Orders Against Thaddeus North
October 27, 2020
Former Cetera Rep Sues AdvisorNet Financial Over Alleged Supervision and Compliance Failures
October 8, 2020
Federal Court Confirms Merrill Lynch's Counterclaim Victory In Puerto Rico Bond Arbitration
October 6, 2020
Love In the Time of Covid Expires for SEC
October 2, 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
FINRA Fines and Suspends Rep for Transferring Customer List to New Employer
September 10, 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
GUEST BLOG: Bill Singer Talks To Industry Recruiter Michael King of Michael King Associates
September 2, 2020
The Boogie Woogie Crypto Man of Company C
August 28, 2020
SEC Evaluates Possibility of Granting Relief During Catastrophic Hurricane Laura
August 27, 2020
Edward Jones Wins TRO Against Former Employee in Solicitation and Trade Secrets Case
August 24, 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
SDNY Says You're Gonna Have To Serve Somebody (And Email Ain't Gonna Cut it)
August 11, 2020
FINRA Sanctions Concorde Investments Services and CCO Levy Over Supervisory Lapses
July 29, 2020
Only One Litigant Shows Up For the FINRA Schoolyard Fight
July 27, 2020
Bridgewater Over Troubled FINRA Waters
July 15, 2020
Hancock Whitney Investment Consultant Stung with Non-Solicit TRO
July 6, 2020
$25,000 E*Trade Pattern Day Trading Minimum Deposit Requirement Challenged in Federal Lawsuit Against FINRA
July 2, 2020
FINRA Settles Untimely Disclosure of Four Felony Charges Without Willfulness Finding
July 1, 2020
Gregory Acosta Hands FINRA an Earth Shattering, Precedent Setting, Historic, Stunning Defeat
June 24, 2020
Rep's Wife and Adult Children Named as Elderly Customer's Insurance Beneficiaries
June 16, 2020
FINRA Arbitrator Sings Signed, Sealed, Delivered and Return to Sender In Default Award
June 9, 2020
What Presidential Sounds Like
June 8, 2020
[In]Securities Guest Blog: As Hollow as it Seems by Aegis Frumento Esq
June 4, 2020
Federal Courts Grapple With Former TIAA Advisor's Racism and Retaliation Charges
June 2, 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
UPDATE: Federal Court Orders Rare TRO In Favor Of Terminated Rep Against Investacorp
May 15, 2020
Federal Court Orders Rare TRO In Favor of Terminated Rep Against Investacorp
May 5, 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
Damages Awarded in Form U5 Defamation Case Against Allstate
April 28, 2020
[In]Securities Guest Blog: Life's for the Living by Aegis Frumento Esq
April 23, 2020
IRA Dispute Offers a Bleak House for Fidelity Stockbroker
April 20, 2020
Federal Courts Consider Disturbing FINRA Customer Arbitration Decision
April 17, 2020
Texas Court of Appeals Reverses $3 Million TD Ameritrade Customer Victory
April 15, 2020
It Ain't Over Till It's Over As Martinovich Appeals Continue
April 10, 2020
Whole Worker Sick-Out Was Half-Assed
April 3, 2020
[In]Securities Guest Blog: Breathless by Aegis Frumento Esq
April 2, 2020
We Will Prevail: Compassion, Sacrifice, and Endurance
March 20, 2020
Citizens Securities Wins TRO in Non-Solicitation Federal Court Action
March 16, 2020
[In]Securities Guest Blog: Not Going Back to My Old School by Aegis Frumento Esq
March 12, 2020
Bill Singer's Annual Warning: Disclose Your Tax Liens
March 4, 2020
FINRA Arbitrators Deny Success Fee Damages to Underwriter
March 2, 2020
Securities Industry Commentator by Bill Singer Esq
February 28, 2020
Hot Shoe Burnin' Down Wall Street In FINRA Morgan Stanley Panama Arbitration
February 27, 2020
Cannabis Science Case Smokes Definition of Brokerage Customer
February 19, 2020
C'mon And Take A Free Ride. FINRA Arbitration Considers Failed Customer Payment
February 17, 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
FINRA Settles Case Involving What Looks Like A Felony But Isn't
January 17, 2020
Ameriprise Didn't Know When To Fold In Terminally Ill Customer Case
January 14, 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
FINRA Needs To Better Coordinate Its Admonition of Statutory Disqualification
January 3, 2020
[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
Appellate Court Sustains Criminal Conviction in Schwab Restraining Order Dispute
December 9, 2019
He Fought The Law And The Law Won . . .Tied . . . Lost?
November 25, 2019
FINRA Addresses Light Bulb and Coffee Cake Abuses
November 15, 2019
2 Pleas, 2 Federal Courts,1 Horrific Ponzi Scheme, and Lots of Lousy Wall Street Regulation
November 6, 2019
[In]Securities Guest Blog: Everybody Knows by Aegis Frumento Esq
October 31, 2019
Claimant's Attorney In ER, Claimant's Wife Gives Birth, but FINRA Arbitrators Won't Postpone Hearing
October 29, 2019
Muni Rigor Mortis
October 21, 2019
The SEC Empire Strikes Back After Reinjuring Its Groin On Planet Daspin
October 18, 2019
[In]Securities Guest Blog: Make It So by Aegis Frumento Esq
October 17, 2019
Texas Two-Step: 2 FINRA Arbitrations, 2 Texas State Courts, and 2 Texas Federal Courts
October 16, 2019
The Illogical Logic of FINRA's Willful Non-Disclosure of Tax Liens
October 11, 2019
Getting the Girl to Do It On Wall Street
October 4, 2019
[In]Securities Guest Blog: Singin' the Varsity Blues, Part 2: Whose Intentions Are Good by Aegis Frumento
October 3, 2019
Astounding 20 Criminal, Regulatory, and Compliance Cases Featured in Securities Industry Commentator
October 1, 2019
[In]Securities GUEST BLOG: Fantasy by Aegis Frumento Esq
September 26, 2019
A Brief Essentially Devoid of Any Legal Analysis or Citations
September 18, 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
Rocky Enters Texas Ring Over Fee-For-Advice Dispute
September 3, 2019
FINRA Bars Stockbroker After RBC Makes $1 Million Pricing Error
August 28, 2019
Federal Court Grapples With Compliance Officer's Whistleblowing to FINRA
August 14, 2019
FINRA Conducts Retrospective Rule Review on Senior Investors
August 12, 2019
District Court Denied Morgan Stanley Injunction In Non Solicitation Case
August 9, 2019
FINRA's Hearing Officers Are 70% Former FINRA and 30% Former SEC
August 2, 2019
Morgan Stanley Hit with $3 Million FINRA Discovery Sanction
July 17, 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
Comerica Securities Tells Suing Customers It Ain't Me, Babe
June 12, 2019
SEC Acts In the Public Interest And Renders $3 Million Whistleblower Award
June 4, 2019
The Hysterical and Yelling Customer, The Market Crash, and A FINRA Expungement
May 29, 2019
Merrill Lynch Wins Motion to Dismiss Stale Customer Claims -- But Barely
May 24, 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
866 Trades in 15 Leveraged ETFs for 47 Customers Ends With 1 Bar
May 14, 2019
FINRA Censures and Fines Firm Over Supervision of Watch and Restricted Lists
May 6, 2019
Federal Court Remands SEC's Willfulness Findings in Robare Form ADV Case
May 1, 2019
UPDATE: Banker's Affair With Customer's Husband Lands Safra In FINRA Arbitration
April 29, 2019
GUEST Blog: The Strangled Cries of Lawyers in Love by Aegis Frumento Esq
April 18, 2019
Sonny Corleone At the Toll Booth: A Study of a FINRA Email Review Settlement
April 16, 2019
Banker's Affair With Customer's Husband Lands Safra in FINRA Arbitration
April 12, 2019
Court Suspends Former NYSE Arbitration Counsel and FINRA Arbitrator
April 10, 2019
Death Craps Out With Viatical Settlement Dice
April 9, 2019
FINRA Notice To Members 19-10 Should Have Said What It Meant
April 8, 2019
GUEST BLOG: Bitwise and Fund-Foolish by Aegis Frumento Esq
March 28, 2019
FINRA Settlement Not Fussing And Fighting But Working It Out
March 25, 2019
Edelman Financial Services Loses Non-Solicit Non-Disparagement Case
March 22, 2019
GUEST BLOG: Singin' the Varsity Blues: Leave Them Kids Alone by Aegis Frumento Esq
March 21, 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
SEC Whistleblowers Blow Their Own Whistles Too Late For Awards
March 12, 2019
FINRA Arbitrators Award Ameriprise Promissory Note Damages But With Odd Statement About What Was Not Considered
March 5, 2019
Lord Voldemort, Bank of America, Merrill Lynch, FINRA, And Childcare Expenses
February 13, 2019
GUEST BLOG: Gods Help Us, Every One by Aegis Frumento Esq
February 7, 2019
GUEST BLOG: The Hard Fork in DAO Road by Aegis Frumento Esq
January 31, 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
Federal Court Says Former Raymond James Employee Was On Notice of FINRA Arbitration
January 14, 2019
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
Hymn for the Missing FINRA Public Customer Claimant
December 18, 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
Unsplit Commission Split Splits Two Registered Reps
November 28, 2018
GUEST BLOG: Giving Thanks by Aegis Frumento Esq
November 22, 2018
Competitively Different Cambridge Loses Culturally Unique FINRA Block Trade Arbitration
November 19, 2018
GUEST BLOG: Pragmatic Federalism In a Blockchained World by Aegis Frumento Esq
November 15, 2018
GUEST BLOG: A Pulitzer Prize for Risk Disclosures? by Aegis J. Frumento Esq
November 8, 2018
Buyer's Remorse Over Industry Bar Prompts Epic SEC Appeal
November 7, 2018
Gregor Samsa Awakes As A FINRA Unnamed Party
November 2, 2018
GUEST BLOG: The Million Dollar Bottle by Aegis Frumento Esq
October 18, 2018
Customer Seeks $2 Million In Puerto Rico Bond Arbitration
October 12, 2018
Morgan Stanley Customer Sues Over Forced Stop Loss
October 10, 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
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
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 Arbitrators Admit FINRA SEC Regulatory Settlements In UBS Puerto Rico Case
September 4, 2018
Date of Birth on Driver License Crashes Stockbroker Career
August 28, 2018
Nietzsche, BeeGees, Kierkegaard, Syndergaard, and Jive Talkin' On Wall Street
August 24, 2018
GUEST BLOG: A Trillion Reasons By Aegis J. Frumento, Esq.
August 16, 2018
Breathtaking Dissent In Industry Arbitration Asks Court To Sanction FINRA
August 14, 2018
Where There's A Will, FINRA Says No Way!
August 9, 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
You Owe Me! A Referral Fee FINRA Arbitration Battle
August 3, 2018
FINRA's Innovation Outreach Initiative and Fifth Harmony Taxonomy As Utilized in Fintech AI
July 31, 2018
Magic Moments Dazzle In Legend-ary FINRA Customer Arbitration
July 27, 2018
FINRA Arbitrators Slam Wells Fargo With $8.5 Million Puerto Rico Bond Award
July 25, 2018
Crowdfunding Portal StartEngine Loses Customer Arbitration
July 16, 2018
SEC Seeks to Reform Its Whistleblower Process
July 3, 2018
Somebody's Got To Pay And FINRA Arbitrator Says It's Scottrade
June 29, 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
Is FINRA Sleepwalking Through Member Firm Examinations?
June 20, 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: A Suicide on Wall Street
June 13, 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
As the FINRA WORM Turns
May 25, 2018
Busted Out Credit Cards Bust Defendants
May 24, 2018
The Disqualified Stalking Felon Stockbroker, The Texting Stockbroker, The Missouri Waltz, and FINRA
May 17, 2018
Solicited System Snafu Stiffs Settling Stifel Stockbroker
May 2, 2018
UPDATE: Medical Marijuana Biz Goes Up In SEC Smoke
May 1, 2018
Financialindustryregulatory Arthur-Iddy's BrokenCzech Tool
April 30, 2018
Rashomon Plays Out In Merrill Lynch Discretionary Case
April 16, 2018
Drinking, Driving, Felonies, and a Wall Street Regulatory Head-On Collision
April 12, 2018
Oppenheimer and Euro Pacific Duke It Out In $35 Million Unfair Competition Arbitration
April 11, 2018
Crash and Burn Upon Entry Into Wall Street
April 6, 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
FINRA Arbitration Panel Divines Intent of Deceased In Dividing Account Assets
March 29, 2018
FINRA Humiliated In Federal Court Arbitration Appeal
March 26, 2018
Merrill Lynch Wins Puerto Rico Bond Arbitration Via Counterclaim
March 23, 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
Citi Hit With Over $4 Million Award In Wrongful Termination Arbitration
March 5, 2018
Bubitotious Infectosis, FINRA Exams, and Loaded Dice
March 2, 2018
Broker Dealer Wins Indemnification Arbitration Against Stockbroker
February 27, 2018
Daspin Death Star Battles SEC and Lone ALJ Jedi Knight Grimes
February 22, 2018
Customer Appeals Wells Fargo Arbitration Loss To Federal Court
February 21, 2018
Rankles Raised In FINRA Expungement
February 8, 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
Defined Benefit Pension Plan Dispute Taxes Stockbrokers and Brokerage Firms
January 30, 2018
Abuse And Harassment On Wall Street
January 25, 2018
FINRA Arbitrators See No UBS, Citigroup, or Merrill Customers And Dismiss Case
January 23, 2018
FINRA Fines Firm When Unregistered Principal Acted Presidential
January 17, 2018
FINRA Dispute Hangs Out As SEC Unzips Zipper Appeal
January 16, 2018
FINRA Horse With No Name Named
January 2, 2018
FINRA Wrestles With No Debt False Statement Versus Untrue One
December 28, 2017
Has FINRA Just Threatened To Shut Down Wall Street's Fantasy Leagues and Office Sports Pools?
December 22, 2017
Arbitrators OK Raymond James Liquidation of JTWROS Account for Broker Husband's Loan
December 21, 2017
Second Circuit Reinstates BATS HFT Class Action
December 20, 2017
The Damnatio Memoriae of Former SEC Counsel Rory Flynn
December 11, 2017
Stockbrokers Succession Plan Grapples With Mine, Ours, and Yours
December 5, 2017
FINRA Arbitrator Gets By With A Little Help of A Friend
November 30, 2017
UPDATE: SEC Says No Mulligans For FINRA Settlements
November 29, 2017
DOL Whistleblower Darrell Whitman Files Emergency Request with US Office of Special Counsel
November 24, 2017
Spoofing Email Sends Payment To Minneapolis, Shanghai, and Bremen
November 21, 2017
California Denies Expungement of NASD and Ohio Regulatory Disclosures
November 13, 2017
97 Year Old Client Names Stockbroker Executor and Beneficiary
November 10, 2017
SEC Nixes Stay of Statutory Disqualification
November 8, 2017
Federal Appeals Court Deems FINRA Deputy of the Federal Government
November 6, 2017
FINRA Settlement Is A Matter of Time And Price
October 31, 2017
Too Many Questions In Edward Jones TOD Account FINRA Arbitration
October 24, 2017
Absurd Unexplained Public Customer FINRA Arbitration Decision
October 20, 2017
Fixer Upper Biz Puts Stockbroker In Need of Career Renovation
October 9, 2017
SEC Rejects Stockbroker Appeal of 2006 NASD Bar
October 5, 2017
SEC Says No Mulligans For FINRA Settlements
October 3, 2017
SEC Sustains FINRA On Willful Failure to Disclose Tax Liens
October 2, 2017
Child Endangerment Defendant Barred By FINRA
September 28, 2017
UBS Employee Padussis Wins Best Left Unsaid Arbitration
September 25, 2017
Starship Enterprise, Lone Ranger, Tonto, Silver, Pumpkin Spice Latte, And FINRA Settlement
September 18, 2017
RIA Cherry Picking Case Rings Alarm (Anyone Listening?)
September 15, 2017
Stockbroker Refunds Commissions To Unhappy Morgan Stanley Customer
September 11, 2017
The Merry-Go-Round of FINRA Reform. This Time It Won't Be Any Different Again
September 6, 2017
UPDATE: Merrill Lynch FINOP Cited By SEC for Unprecedented Violations
September 1, 2017
Turning Right Is Wrong At FINRA Red Light
August 30, 2017
Weight Management Company Weighs Heavily on Stockbroker's Career
August 29, 2017
Sewage Release By Wall Street Regulators
August 24, 2017
STEPHEN A. KOHN Wins Three-Way Race for 2017 FINRA Small Firm Governor
August 22, 2017
Stifel Prevails In Arbitration But Former Hilltop Employees Hit With Awards
August 21, 2017
Negligent Market Manipulation In OTC Stock Promotion
August 18, 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
2Cir Affirms Icahn Victory In Options Disgorgement Case
August 4, 2017
GUEST BLOG: Whistleblown by Michael Schwartz
August 1, 2017
FINRA Gets One Last Slap in Marine Veteran's Face
July 31, 2017
Elder Abuse Allegations Arise In Wedbush Arbitration
July 20, 2017
I Scream, You Scream, FINRA Screams for Ice Cream
July 18, 2017
The Customer Settles And The Stockbroker Wins An Expungement
July 13, 2017
UPDATE: SEC Denies Wanger Re-Entry Into Industry
July 12, 2017
FINRA Disciplinary Settlement Raises Relevancy of Any
July 10, 2017
HSBC Securities Settlement Raises Questions About FINRA Examinations
July 5, 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
Benjamin Wey Wins Suppression Order In Securities Fraud Criminal Case
June 19, 2017
Stockbroker and Wife Fake Statements For Home Loan
June 16, 2017
FINRA's Willy Nilly Tax Lien Settlements
May 25, 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
A Truce Just About Does It In Schwab Solicitation Case
May 8, 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
GUEST BLOG: Are Decepticons Duplicitous? by Stephen Kohn
April 28, 2017
Misconduct Bricks In FINRA Wall of Statutory Disqualification
April 26, 2017
Merrill Lynch Employee Flies First Class After Mystery Man Misuses Corporate Card
April 21, 2017
FINRA Settles With Merrill Lynch Rep Who Tried To Sell Customer Information
April 11, 2017
Decepticons Invade FINRA As Nationwide Email Program Reload Fails
April 10, 2017
The FINRA Thrum Of Stamping Settlements
April 6, 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
Inconsistent FINRA Findings of Willful Nondisclosure Persist
March 13, 2017
FINRA Cites Pennystock Sales By Feltl Rep While Customers Buying
March 10, 2017
FINRA Sanctions Emailing of Private Consumer Info
March 2, 2017
SEC Will Not Appeal Bartko And Posts Online Form For Reversing Collateral Bars
February 24, 2017
Hidden Warning In SEC Corporate Disclosure Defaults
February 16, 2017
Merrill Lynch FINOP Cited By SEC for Unprecedented Violations
February 15, 2017
The Will, Disabled Aunt, Stepkids, Executor Nieces, And Stockbroker
February 14, 2017
Is SEC Cherry Picking Case Nit Picking Depositions?
February 13, 2017
Medical Marijuana Biz Goes Up In SEC Smoke
February 10, 2017
Real Estate Flipper Sued For Investment Fraud
February 8, 2017
GUEST BLOG: This Way to Financial Services Reform
February 6, 2017
SEC Hit By Wave Of Petitions For Removal of Post-Bartko Collateral Bars
February 3, 2017
Stockbrokers, Spouses, Marriage, and Away Accounts
January 26, 2017
SEC Collateral Bars Set Aside In Dramatic Bartko Victory
January 18, 2017
Tax Liens and Wall Street Disqualification
January 12, 2017
SEC Settles 3 RIA Referral Fees Cases
January 11, 2017
BREAKING STORY: FULL TEXT DOJ Indictment and SEC Complaint In Law Firm Email Hacking Insider Trading Cases
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
FBI Director Comey Offers Wall Street Lawyer Bill Singer Hitch Free US$8 Million
December 23, 2016
FINRA Panel Sides With Zions Direct In Employee Bidding Policy Wrongful Termination Case
December 22, 2016
SEC Shuts Down RIA Cherry Picking
December 21, 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
Bill Singer Dissects FINRA's Acceptance Waiver and Consent Settlement (AWC)
November 28, 2016
Bogus Stockbroker Gets 15 Years In Prison For Elder Fraud
November 22, 2016
FINRA Settles Non Disclosure Of Tax Liens Without Finding Willfulness
November 11, 2016
Trade Error Haunts Stockbroker
November 8, 2016
Death Be Not Proud Or Profitable In SEC Fraud Case
November 7, 2016
FINRA Sanctions Lack of Proactive Compliance
November 3, 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
The Chief Compliance Officer, The Taxman, And FINRA
October 24, 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
Safeguarding Retirees from Getting Cheated out of Their Social Security Payments
October 14, 2016
Defunct Broker-Dealer Loses No-Show Arbitration With Non-Lawyer
October 13, 2016
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
NY Life Rep Crosses Arbitration Rubicon With Expungement Case
September 28, 2016
Sportspicks.com Founder Loses FINRA Regulatory Wager
September 27, 2016
UPDATE: SEC Settlement Gives Respondent 168 Years To Pay
September 26, 2016
Former Schwab Stockbroker Obliterates Firm In Wrongful Solicitation Case
September 14, 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
Feds Charge Alt-Fuel, All Electric Company Simply Old Fashioned Hot Air Stock Scam
August 29, 2016
Did You Hear The One About The Solicited Order that Got Marked Unsolicited?
August 19, 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
Double Trouble On Wall Street
August 4, 2016
Wally and Giovanni: New FBI Crisis Response Canines
July 20, 2016
Earn Reward Points in Ticket Biz Scam With 25 Bogus AMEX Cards
July 20, 2016
Ex-Wife, Deceased Father, Executrix Daughter, Retirement Account, and Annuity
July 19, 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
Customer Lays $10 Million Egg in Charles Schwab Arbitration
July 7, 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
FINRA Says Customer Oral Authorization Not Worth The Paper It's Not Written On
June 21, 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
BrokerCheck Dispute Says FINRA Wrongly Says SEC Bar is Permanent
June 9, 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
BREAKING STORY: FULL TEXT SEC Complaint and DOJ Indictment and Information in Dean Foods Insider Trading Case
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
Online Microcap Finder Fee Platform Raises FINRA Regulatory Concerns
May 12, 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
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
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
Borrowing From Customer, Tax Liens, Settling Away,Social Media, And More!
February 26, 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
CD War Between Securities and Exchange Commission and Federal Bureau of Prisons
February 8, 2016
Brokerage Firm Censured and Fined for Undetected Statutorily Disqualified Rep
February 3, 2016
Mexico Security Concerns Posed Postal Risk For Brokerage Customer
January 11, 2016
Lord Voldemort, Merrill Lynch, Bank of America, and FINRA
December 30, 2015
UPDATE: Bank Employee Charged With Illegal Access Of 730,000 Accounts
December 24, 2015
SEC Fails to Destroy Daspin Death Star Over Cloud City of Bespin
December 18, 2015
FINRA Jurisdiction Over Insurance Agent Activity Challenged In SEC Appeal
December 9, 2015
The SEC Fears The Email Privacy Act
December 3, 2015
Net Capital Violations Become Federal Criminal Case
November 12, 2015
Grandparents Victimized In Narcotics Bail Scam
November 6, 2015
Compliance Advisor Fined and Suspended For Falsifying Data
November 2, 2015
Hit And Run Wall Street Regulation Immunized In Goble and North American Appeal
October 23, 2015
Conspirators Indicted In Online Malware Attacks Against Financial Accounts
October 19, 2015
UPDATE: Federal Appeals Court Reverses Goldman Sachs Arbitration
October 2, 2015
SEC Rejects Appeal By Failed Buyer of FINRA Broker Dealer
October 1, 2015
FINRA Fines UBS Over Bloomberg Messages
September 16, 2015
Folded Note Found On Test Center Floor
September 14, 2015
Things Get Waaaay Worse for Wey UPDATE
September 11, 2015
FBI Warns About Business Email
September 2, 2015
FINRA Jams Ditto Copying of Trades
August 17, 2015
Stockbroker Disqualified For Non Disclose Of Grand Jury Investigation
July 31, 2015
Bond Parking For Net Capital Benefit Disqualifies Brokerage Executive
July 30, 2015
Software Glitch Overwhelms Firm's Email Review
July 23, 2015
Website, Social Media, Fees,and Email Fall Off Compliance Officer's Radar
July 20, 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
SEC Commissioner Aguilar Says Commissioner Gallagher Wrong About Chief Compliance Officer Regulation
June 30, 2015
Failed Email Review Offers Example Of Hidden Compliance Costs
June 5, 2015
Computer Glitch Overpays Stockbroker's Commissions
June 3, 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
FINRA Wrestles With Serious,Aggravating, And Egregious Filing Failures For Forms U4 and BD
May 14, 2015
Bank of America Shows That Wall Street Regulation Stinks From The Head Down
May 6, 2015
FINRA Named As Defendant In Case Alleging Altered Electronic Files
April 24, 2015
SEC Whistleblower Program Is A Black Hole Of Despair
April 9, 2015
BREAKING NEWS Supreme Court Vacates / Remands Omnicare Registration Statement Case
March 24, 2015
Customer Wins $378,000 in Ultra Short ETF Lawsuit
March 23, 2015
SEC Grants FINRA An Extraordinary Voluminous Extension
March 19, 2015
Schwab Seeks $6 Million In Solicitation Dispute
March 12, 2015
First SEC Whistleblower Bounty Awarded To Corporate Officer
March 3, 2015
SEC Operation Shell Expel Drains Reverse Merger Cesspool
March 2, 2015
A Purloined Letter Challenges Wall Street To Adapt
February 18, 2015
FULL TEXT 2nd Circuit Fezzani v. Bear Stearns
February 6, 2015
Unreasonable AML Policies Cited In Trading Platform Fraud
January 29, 2015
The Butcher, Baker, Candlestick Maker and Wall Street CPA
January 22, 2015
Supreme Court Reverses TILA Rescission Denial In Countrywide
January 13, 2015
Lien-ing Tower Prompts FINRA Fine And Suspension
January 9, 2015
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Internet
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