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Topic List for Ice (133 results)
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
FINRA Arbitrator Denies Indemnification Citing Firm's Failure to Supervise
February 6, 2023
Intellivest Securities Hunts Down Raiders Who Allegedly Gutted The Brokerage Firm
December 12, 2022
BrokeAndBroker.com Hit With Second 2022 DMCA Takedown Notice After Prevailing in Same Dispute in 2020
September 16, 2022
Former Ameriprise Rep Files Lawyer Malpractice Complaint After Losing FINRA Promissory Note Arbitration
August 22, 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
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
Guest Blog: Now You See It, Now You Don't by "Regulated or Aggrieved"
June 15, 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
For a Second Time, Federal Court Says Price Isn't Right In UBS Whistleblower Retaliation
April 11, 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
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
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
Did You Hear About The FINRA Arbitration Against Fidelity For Dental Pain and Suffering?
December 1, 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
No-Show FINRA Member Firm Loses Customer Arbitration But Where is FINRA When It Comes To Collecting on the Award?
November 2, 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 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 Sanctions CCO/AMLCO Over Microcap Red Flags And Private Placement Disclosures
July 21, 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
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
Federal Court Rejects TRO Against Brokerage Firm and RIA
May 10, 2021
Brokerage Firm's Third-Party Complaint Against Its Former CEO Remanded to FINRA Arbitration
April 27, 2021
Wall Street Compliance Professionals Need FINRA Like A Heart Attack
April 22, 2021
These Foolish Things Remind Me of FINRA
April 14, 2021
FINRA Notice Reminds Firms Of Obligation To Thoughtfully Craft Strong Rules In Advance
March 19, 2021
NEWSFLASH: FINRA Observes Bad Actors In the Markets
February 11, 2021
A Modern Tale of Cybercriminals, Fake ID, and a FINRA Arbitration
January 25, 2021
FINRA Turns 300 Orally Authorized Trades Into 300 Trades Of Unauthorized Discretion
October 30, 2020
For FINRA, Relevant Is A Large Gray Pachyderm
September 9, 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
$25,000 E*Trade Pattern Day Trading Minimum Deposit Requirement Challenged in Federal Lawsuit Against FINRA
July 2, 2020
FINRA Arbitrator Sings Signed, Sealed, Delivered and Return to Sender In Default Award
June 9, 2020
What Presidential Sounds Like
June 8, 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
IRA Dispute Offers a Bleak House for Fidelity Stockbroker
April 20, 2020
Texas Court of Appeals Reverses $3 Million TD Ameritrade Customer Victory
April 15, 2020
Whole Worker Sick-Out Was Half-Assed
April 3, 2020
We Will Prevail: Compassion, Sacrifice, and Endurance
March 20, 2020
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
FINRA Conducts Retrospective Rule Review on Senior Investors
August 12, 2019
FINRA's Hearing Officers Are 70% Former FINRA and 30% Former SEC
August 2, 2019
Wells Fargo Banker and Broker Loses Humpty Dumpty FINRA Arbitration
June 24, 2019
Federal Court Remands SEC's Willfulness Findings in Robare Form ADV Case
May 1, 2019
Court Suspends Former NYSE Arbitration Counsel and FINRA Arbitrator
April 10, 2019
SEC Whistleblowers Blow Their Own Whistles Too Late For Awards
March 12, 2019
Federal Court Says Former Raymond James Employee Was On Notice of FINRA Arbitration
January 14, 2019
Hymn for the Missing FINRA Public Customer Claimant
December 18, 2018
GUEST BLOG: Pragmatic Federalism In a Blockchained World by Aegis Frumento Esq
November 15, 2018
Buyer's Remorse Over Industry Bar Prompts Epic SEC Appeal
November 7, 2018
Stockbroker An Unintended Bystander Victim In Drive-By Customer Complaint
September 10, 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
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
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 Human Factor On Wall Street
June 14, 2018
Rashomon Plays Out In Merrill Lynch Discretionary Case
April 16, 2018
Stormy Daniels Issue Hits FINRA Arbitration Remand
April 4, 2018
Branch Office Agreement At Heart of Industry Arbitration
March 21, 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
Defined Benefit Pension Plan Dispute Taxes Stockbrokers and Brokerage Firms
January 30, 2018
FINRA Fines Firm When Unregistered Principal Acted Presidential
January 17, 2018
The Damnatio Memoriae of Former SEC Counsel Rory Flynn
December 11, 2017
Stockbrokers Succession Plan Grapples With Mine, Ours, and Yours
December 5, 2017
DOL Whistleblower Darrell Whitman Files Emergency Request with US Office of Special Counsel
November 24, 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
SEC Rejects Stockbroker Appeal of 2006 NASD Bar
October 5, 2017
Child Endangerment Defendant Barred By FINRA
September 28, 2017
Starship Enterprise, Lone Ranger, Tonto, Silver, Pumpkin Spice Latte, And FINRA Settlement
September 18, 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
Sewage Release By Wall Street Regulators
August 24, 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
Merrill Lynch FINOP Cited By SEC for Unprecedented Violations
February 15, 2017
Is SEC Cherry Picking Case Nit Picking Depositions?
February 13, 2017
GUEST BLOG: This Way to Financial Services Reform
February 6, 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
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
Death Be Not Proud Or Profitable In SEC Fraud Case
November 7, 2016
Majestic FINRA Customer Arbitration Decision Grapples With Non Lawyer Role
October 21, 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
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
SEC Splits Over CPA Bars For PCAOB Audit
August 15, 2016
Wally and Giovanni: New FBI Crisis Response Canines
July 20, 2016
Voyeurs In A Digital Age: In Memoriam, Nice, France
July 15, 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
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
Wall Street Critic Bill Singer Revisits His 2009 Reform Proposals
April 22, 2016
UPDATE: SEC Inspector General Exonerates ALJ System
February 12, 2016
UPDATE: Bank Employee Charged With Illegal Access Of 730,000 Accounts
December 24, 2015
UPDATE: Federal Appeals Court Reverses Goldman Sachs Arbitration
October 2, 2015
Folded Note Found On Test Center Floor
September 14, 2015
FINRA Jams Ditto Copying of Trades
August 17, 2015
Website, Social Media, Fees,and Email Fall Off Compliance Officer's Radar
July 20, 2015
1 Registered Rep, 5 Days, and 9 NSF Checks
July 10, 2015
UPDATE: Bill Singer's Ennui In Response To The DOJ FOREX Press Junket
May 20, 2015
SEC Whistleblower Program Is A Black Hole Of Despair
April 9, 2015
SEC Grants FINRA An Extraordinary Voluminous Extension
March 19, 2015
First SEC Whistleblower Bounty Awarded To Corporate Officer
March 3, 2015
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