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UPDATE: The SEC's Netflix/Reed Hastings Policy and @GaryGensler and @SECGov and the SIM Swap Hack
January 23, 2024
SEC Sustains in Part and Remands FINRA Case Against Southeast Investments and President Black
December 8, 2023
Will Schwab Sink or Swim with ThinkOrSwim?
October 30, 2023
Federal Court Denies Kim TRO and Injunction Against FINRA Enforcement Action
October 10, 2023
Kabuki Theater at the Senate Banking Committee Starring SEC Chair Gensler
September 13, 2023
FINRA Has Some 'Splaining To Do As Arbitrators Deny Gender Discrimination Claims
July 24, 2023
Federal Court Says FINRA Arbitration Not So Lucid in the Sky with Diamonds
July 19, 2023
Branch Manager and FINRA Fail to See Red Flags of Unsuitability Involving Senior Customers
June 6, 2023
FINRA Board of Governors Fails to Confront Goldman Sachs $215 Million Gender Discrimination Settlement
May 10, 2023
A Call for Boycott: FINRA Board of Governors' Cowardly Silence Becomes Thunderous
May 1, 2023
FINRA Bars former Securities America Rep For Conversion
April 21, 2023
Pro Se Registered Respondent A No Show At Arbitration Involving Cambridge Capital Group
April 10, 2023
Blackbook Capital Versus FINRA: A Decade of Battle
March 6, 2023
Federal Court Deems FINRA Absolutely Immune in Expungement Lawsuit
February 28, 2023
Lira v. Edward Jones: An Ironic and Cynical Tale of Alleged Discrimination, Harassment, and Retaliation
February 9, 2023
TD Ameritrade Escapes $1.7 In Damages But An Advisor Gets Slammed by FINRA Arbitrators
December 29, 2022
Time to Overhaul SEC Whistleblower Program
December 5, 2022
Sexism on Wall Street: The Cowardly Silence of FINRA's Board of Governors
November 28, 2022
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
Whistleblower Angered by SEC's Split of $27 Million Award
September 27, 2022
Wells Fargo Wins FINRA Arbitration Against Former Rep With Three On And Off Lawyers
September 21, 2022
Federal Court Denies JPMorgan TRO Against Former Employee But Grants Expedited Discovery
September 15, 2022
10Cir Reinstates in Part La'Tonya Ford's Retaliation /Hostile Work Environment/Constructive Discharge Claims Against Jackson National
August 24, 2022
Overtime at Merrill Lynch Prompts Uneven-Handed FINRA Regulation
August 12, 2022
Fidelity Brokerage Services Has Two Trains Runnin' in FINRA Arbitration and Federal Court
July 25, 2022
GUEST BLOG [In]Securities: Lyin' Eyes: Securities Fraud or Just Plain Fraud? by Aegis Frumento Esq
July 8, 2022
The Flash Crash, Interactive Brokers, Two Hedge Funds, John Does, and Homer Simpson's Appetite for Donuts
July 6, 2022
FINRA Arbitrators Hit Citigroup With $1.4 Million Damages For Discrimination, Harassment, and Retaliation
June 28, 2022
Suspension of Disbelief: The Louis Ottimo FINRA to SEC Back to FINRA Back to SEC Regulatory Saga
June 23, 2022
The Nightmare of a Dream Job on Wall Street
June 7, 2022
SEC Claims Review Staff Tortures Whistleblower With Denial of Eventual $14 Million Award
March 14, 2022
Former Cantor Fitzgerald Trader Sues Over Wrongful Termination Involving Child Care Leave
March 7, 2022
FINRA Sanctions Another Morgan Stanley Rep for Commissions Earned Under Joint Production Agreement
February 16, 2022
California Court of Appeal Retains State Court Jurisdiction of BTIG Employment Retaliation Lawsuit
December 8, 2021
The European-Style Consolatory Cheek Kiss, the UBS Lawsuit, and the Certified Question
December 2, 2021
FINRA Arbitrators Find No Evidence For Customers' $10 Million UBS YES Claims
October 26, 2021
FINRA AWC Did Not Require Acceptance of Findings But Why Does Regulator Publish Denials?
August 9, 2021
Another Office Girl Gets Slammed By FINRA
July 29, 2021
SEC Sanctions Guggenheim Securities For Anti-Whistleblower Confidentiality Agreement
June 28, 2021
2Cir Affirms FINRA Arbitrators Award to Jefferies of $1 Million Liquidated Damages For Aborted Employment
June 7, 2021
Federal Court Says Second Amended Complaint Looks Too Much Like First Amended Complaint
May 11, 2021
Customer Complaints and Away Settlements -- Matters of Interpretation?
April 9, 2021
FINRA Fines and Suspends Former Barclays Rep Over Reimbursed Expenses
April 6, 2021
FINRA Charges Operations Professional $5,000 for Sushi
March 17, 2021
High Standards In Low Places on Wall Street
March 5, 2021
GUEST BLOG [In]Securities: Instant Karma By Aegis Frumento Esq
February 19, 2021
Federal Court Grants Summary Judgment in Racial Discrimination Case Involving FINRA BrokerCheck
February 8, 2021
The 2021 Edition of the Prime Bank Note Scam
February 1, 2021
A Modern Tale of Cybercriminals, Fake ID, and a FINRA Arbitration
January 25, 2021
Voya Racial Discrimination Case Sheds Harsh Light On Wall Street Mandatory Arbitration
January 11, 2021
A Business Meal That Wasn't. A Job That's No Longer. A FINRA Regulatory Settlement That Hurts
January 7, 2021
Federal Court Says Former Morgan Stanley Advisor's Discrimination Claims Are Time Barred
December 18, 2020
Outrageous Romance Scam Earns Even More Outrageous Sentence
December 8, 2020
Schemes From a California Restaurant
December 7, 2020
FINRA Fines and Suspends Former NYLIFE Associated Person For Impersonation
December 3, 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
Ballad of a FINRA Man
October 15, 2020
Not Enough Bull In Stairway to Heaven
October 7, 2020
Federal Court Confirms Merrill Lynch's Counterclaim Victory In Puerto Rico Bond Arbitration
October 6, 2020
Love In the Time of Covid Expires for SEC
October 2, 2020
Edward Jones Wins TRO Against Former Employee in Solicitation and Trade Secrets Case
August 24, 2020
UPDATE: FINRA Says Brokerage Fee An Undisclosed Commission
August 12, 2020
The Securities Industry Commentator by Bill Singer Esq
August 7, 2020
[In]Securities Guest Blog: Good, Bad and Ugly by Aegis Frumento Esq
July 9, 2020
[In]Securities Guest Blog: Gambling Man by Aegis Frumento Esq
June 19, 2020
Marilyn Booker v. Morgan Stanley & Co., LLC, James Gorman, and Barry Krouk: FULL TEXT COMPLAINT
June 17, 2020
Federal Courts Grapple With Former TIAA Advisor's Racism and Retaliation Charges
June 2, 2020
SEC Announces Two Whistleblower Awards But One Is A Redacted Puzzle
April 21, 2020
Thought And Preparation In Wall Street Plague Time
March 11, 2020
Not Enough Bull In Stairway to Heaven
March 10, 2020
[In]Securities Guest Blog: A Political World by Aegis Frumento Esq
February 13, 2020
Did a Federal Court Mistakenly Deem FINRA a Federal Prosecutor?
January 24, 2020
Prudential Wins Dismissal of Tortious Interference Claim
January 22, 2020
In Today's Securities Industry Commentator
January 21, 2020
[In]Securities Guest Blog: Drunk on a Plane by Aegis Frumento Esq
January 16, 2020
[In]Securities Guest Blog: Born to be Wild by Aegis Frumento Esq
January 9, 2020
UPDATE: Court Confirms UBS Promissory Notes Arbitration Citing Delays And Doctor's Note
January 6, 2020
[In]Securities Guest Blog: Not Dead Again Today? by Aegis Frumento Esq
December 19, 2019
[In]Securities Guest Blog: Lawyers, Guns and Money by Aegis Frumento Esq
December 12, 2019
Synapse Financial Technologies Sued For Harassment, Discrimination and Retaliation
December 10, 2019
In Today's Securities Industry Commentator
December 6, 2019
FINRA Arbitrator Saves Innocent Stockbroker Caught In the Middle By Settled Customer Complaint
December 2, 2019
He Fought The Law And The Law Won . . .Tied . . . Lost?
November 25, 2019
SEC Whistleblower Program: Three Persons Deemed One Claimant and the 8/10ths of a Human Being
November 19, 2019
Guest Blog: Merrill Lynch Production Policy Causes Age Discrimination by Jerry Marks, Esq
October 7, 2019
Getting the Girl to Do It On Wall Street
October 4, 2019
Oops I Did It Again Is No Defense In Second FINRA AWC
September 9, 2019
FINRA Puts Lime Brokerage in the Self-Regulatory Coconut
August 21, 2019
Another Small Fish Fry on Wall Street Reeks of FINRA Insincerity
July 22, 2019
Courts Tell Divorced Stockbroker to Try A Little Bit Harder
June 7, 2019
GUEST BLOG: . . . and I Feel Fine by Aegis Frumento Esq
May 16, 2019
Seller's Remorse Upends Investment Firm Sale In FINRA Arbitration
May 8, 2019
Federal Court Remands SEC's Willfulness Findings in Robare Form ADV Case
May 1, 2019
FINRA Warns Of Imposter Brokerage Websites
April 30, 2019
SEC Scheduling Order: The Nuts and Bolts of Trying Your Case
April 5, 2019
UBS Wins Promissory Notes Arbitration After Four Delays And A Doctor's Note
March 29, 2019
BREAKING STORY: Supreme Court Affirms DC Circuit on Lorenzo v. SEC
March 27, 2019
FINRA Settlement Not Fussing And Fighting But Working It Out
March 25, 2019
SEC Whistleblowers Blow Their Own Whistles Too Late For Awards
March 12, 2019
Morgan Stanley Female Rep Survives Former Advisor Program Arbitration
March 11, 2019
Stockbroker Only One Call Away From FINRA Fine and Suspension
March 1, 2019
FINRA Arbitrators Award Over $569,000 In Damages For In And Out Transfers
February 22, 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
Financial Elder Abuse Claims Against Morgan Stanley Die A Tortured Death
January 30, 2019
Federal Court Says Former Raymond James Employee Was On Notice of FINRA Arbitration
January 14, 2019
Oppenheimer TKO'd by Stunning Stockbroker Offset in FINRA EFL Arbitration
January 9, 2019
Wells Fargo Customer Left Town But Was In the Parking Lot But Wasn't, Sent Letter But Didn't, and Made Phone Call But Hadn't
December 21, 2018
FINRA Rule 8210 and FINRA Rule 9552 Analysis by Bill Singer Esq
December 11, 2018
FINRA Rule 8210 Demands End With Stockbroker Bar
December 10, 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
FINRA Bars Analyst For Biting Off More Than She Could Chew
November 13, 2018
Sole Beneficary Grandnephew Sues Morgan Stanley Questioning Mom's Capabilities
November 5, 2018
Ameriprise Wins Epic Battle With Advisor Who Pled Guilty In Criminal Case
October 31, 2018
10 Years After, World Is Changed For Ameriprise Stockbroker In FINRA Expungement
October 9, 2018
FINRA Arbitrators Admit FINRA SEC Regulatory Settlements In UBS Puerto Rico Case
September 4, 2018
Justify Ownership in Deal Genuine For $5.7 Million Abandoned Funds
August 31, 2018
10 Year Employee Forgivable Loan Battle Frustrates UBS
August 13, 2018
The Greek Yogurt Justice of Strained FINRA Mercy
August 8, 2018
Travelin' Man Comes To End of Wall Street Line
July 11, 2018
Stockbrokers Victimized by Customer Imposter and FINRA Fees and Charges
July 10, 2018
Mentoring Wall Street Professionals About Determination and Persistence
July 6, 2018
The Double Edged Sword of Facts And A FINRA Expungement
June 28, 2018
Power Play Short Circuits Broker's Career
June 18, 2018
BREAKING NEWS: USA v. AT&T Merger Opinion ONLINE
June 12, 2018
SEC ALJ Denies Disqualification of Wedbush Lawyer
June 8, 2018
The Imposter, The Signature, The Unregistered Associate, and a FINRA Bar
June 6, 2018
FINRA Settles UIT and Instant Messaging Case
May 31, 2018
Money For Nothing Leaves Stockbroker in Dire Straits With FINRA
May 9, 2018
Pro Se Employee Eviscerated in FINRA Employment Expungement Arbitration
May 3, 2018
Rashomon Plays Out In Merrill Lynch Discretionary Case
April 16, 2018
Oppenheimer and Euro Pacific Duke It Out In $35 Million Unfair Competition Arbitration
April 11, 2018
Securities and Exchange Commission Imposters Target Public
April 5, 2018
Merrill Lynch Wins Puerto Rico Bond Arbitration Via Counterclaim
March 23, 2018
FINRA Horse With No Name Named
January 2, 2018
Feds Halt Seinfeld Bottle Deposit Scam
December 6, 2017
Stockbrokers Succession Plan Grapples With Mine, Ours, and Yours
December 5, 2017
Merrill Lynch Employee Fined and Suspended for Business Meals by FINRA
November 14, 2017
FINRA Settlement Is A Matter of Time And Price
October 31, 2017
BREAKING NEWS: SEC Loses Dramatic CLO Case Against Tilton and Zohar
September 27, 2017
FINRA Bars Rep For Arbitration Perjury
September 27, 2017
Wachovia Customer Sues Wells Fargo Over FundSource Losses
September 20, 2017
Turning Right Is Wrong At FINRA Red Light
August 30, 2017
Negligent Market Manipulation In OTC Stock Promotion
August 18, 2017
Childbirth and Medical Emergency Impact FINRA Arbitration
August 14, 2017
UBS v. Fiore: Let The Games Begin
July 27, 2017
Elder Abuse Allegations Arise In Wedbush Arbitration
July 20, 2017
Stephen Kohn and Jim Webb, Candidates for 2017 FINRA Small Firm Governor
June 15, 2017
Sales Assistant and Broker Impersonate Client and Son
June 12, 2017
Message From Jim R. Webb, Candidate For 2017 Small Firm Governor
June 8, 2017
BREAKING NEWS: SEC Loses Supreme Court Kokesh Disgorgement Case
June 5, 2017
SEC Issues Historic Stay of ALJ Initial Decisions
May 24, 2017
FINRA Hoisted With Its Own BrokerCheck Petard
May 9, 2017
FINRA Arbitrator Tosses Stale Wells Fargo Customer Case
May 4, 2017
Merrill Lynch Employee Flies First Class After Mystery Man Misuses Corporate Card
April 21, 2017
SEC ALJ Initial Decision Dismisses Insider Trading Case
April 19, 2017
Real Estate Flipper Sued For Investment Fraud
February 8, 2017
FINRA's JP Morgan Challenge: Will the Self Regulator End Its Hypocrisy?
January 24, 2017
Stockbroker Impersonations Prompt FINRA To Ask Who Are You
January 17, 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
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
Standby Letter of Credit Walks Away From Duped Investors
December 15, 2016
What The Hell Does It Take For FINRA To Bar A Stockbroker?
November 29, 2016
Bogus Stockbroker Gets 15 Years In Prison For Elder Fraud
November 22, 2016
FINRA Faked Out By Move
November 14, 2016
Dementia At Issue In Wells Fargo Arbitration
November 2, 2016
Imposter Plays Flag Football With Broker Dealer Wire Transfer
October 25, 2016
Safeguarding Retirees from Getting Cheated out of Their Social Security Payments
October 14, 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
Former Schwab Stockbroker Obliterates Firm In Wrongful Solicitation Case
September 14, 2016
Wally and Giovanni: New FBI Crisis Response Canines
July 20, 2016
FINRA Says Customer Oral Authorization Not Worth The Paper It's Not Written On
June 21, 2016
BREAKING NEWS: Bank of America Hit In Lurid Gender Pay Bias Lawsuit
May 17, 2016
FINRA Sanctions Stockbroker's Loans From Mom, Friend and Friend's Wife
May 11, 2016
Stockbroker Fined and Suspended for Impersonating Mother, Wife, and Cousin
February 22, 2016
US Bancorp Investments Employment Dispute Ends With Mixed Result
February 11, 2016
UPDATE: Pro Se Respondent Battles SEC to Standstill
February 10, 2016
Pro Se Respondent Battles SEC Bar To Standstill
January 20, 2016
Merrill Lynch Stockbroker Beats Wells Fargo In Employment Dispute
December 23, 2015
CASE IN POINT Video Interview with host BILL SINGER and guest Brittany Weiner, Esq.
November 17, 2015
Hit And Run Wall Street Regulation Immunized In Goble and North American Appeal
October 23, 2015
Stockbroker Fined and Suspended Over Limited Partnerships and Notes
October 21, 2015
Morgan Stanley Client Service Associate Trips Over Wire Request
October 8, 2015
UPDATE: Federal Appeals Court Reverses Goldman Sachs Arbitration
October 2, 2015
SEC ALJ Sent To Woodshed In Remanded Listing Revocation
August 28, 2015
FULL TEXT Opinion in Barclays High Frequency Trading Case
August 27, 2015
FINRA Rules 8210 and 9552: The Costs On Not Responding
August 20, 2015
Morgan Stanley Sex Discrimination Arbitration Ends In Federal Court
July 29, 2015
Sexual Orientation Harassment And Discrimination In Stifel Promissory Note Case
July 13, 2015
Wall Street Sales Assistant Scams 3 Years of Reimbursed Expenses
June 19, 2015
FULL TEXT Espinoza v. Dimon London Whale Shareholder Derivative Suit
June 17, 2015
Stockbroker Impersonates Customers During Phone Calls
June 11, 2015
Nasty FINRA Lawsuit Gets Nastier
June 10, 2015
BREAKING NEWS: Supreme Court Rules on 401(k) Plan Prudent Management
May 18, 2015
SEC ALJ Rejects Mere Witness Inconvenience
May 7, 2015
FINRA Moves to Dismiss Spoliation Claims
May 5, 2015
BREAKING NEWS: Supreme Court Vacates And Remands Mach Mining EEOC Case
April 29, 2015
US Attorney and SEC Charge Investment Advisor In $20 Million Fraud
April 17, 2015
The Ponzi, The Inmate, And The SEC's 43,000 Pages In The Mail
April 16, 2015
FULL TEXT Complaints And Answers in Pao v. Kleiner Perkins
March 27, 2015
FINRA Wins Discrimination Retaliation Lawsuit
February 23, 2015
FBI Posts Ransomware Warning
January 22, 2015
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Calls
Cantor Fitzgerald
Allocation
Compliance Questionnaire
Trading
Jay Clayton
Retired Woman With Cane
10b-10
Constructive Discharge
Rule 3210
Johnson
Purshe Kaplan
DAO
Powell
wrongful termination
AWC. FINRA
FINRA Arbitration
Teleconference
Finder\'s Fee
Rule 12203
Hotel
Jarkesy
Nationwide
ESOP
Kierkegaard
Motion
Reason for Termination
LIBOR
AXA
YouTube
Administrative Process
SDOH
Non-Disclosure
ESG
CE
Fernandez
Trader
Tax Advice
Pham
Panama
Telephone
Vungarala
Cherry Picking
Expulsion
Lorenzo
Nicolas Corcione
Fundacion Nicor
Ten Commandments
Credit Cards
SDCA
Retroactive Bar
Collateral Bar
Municipal Advisor
Fine
Financial Disclosure
Retroactive
Pershing
GME
FNI Media
sexism
NRSRO
DRS
NFT
Section 1332
Exception Reports
Schottenstein
Bartko
FINRA Foundation
Negligence
Private Placements
ALJ Grimes
Third Party Beneficiary
Transparency
JOBS Act
Last Known Address
QuadrigaCX
Mantar
GAP
Rule 21F-17
In House Counsel
CD
NYAG
Communications
Undertaking
expenses
Promoter
SLUSA
Accounting
JAMS
In Connection With
Deceased Customer
MAP
reimbursement
TSSB
HSBC
false statements
AMC
Rule 13206
Reg SHO
DMCA
Gross
Ruder Task Force
Confidential
Audit Committee
Sharing Agreement
Books and Records
Kiting
Rule 144
VXX
Corporate Governance
Motion to Compel Arbitration
Back Dated
Equity
ACT!
Tysk
Altered
Apartment
Particularity
Declaratory Judgment
Rule 13212
Lek
Rule 13201
Ethics
Court of Appeal
Orders
Daspin
Rule 2140
APA
Title VII
Motion to Exclude
Section 206
PSRO
Joint Production
Discharge
Exception Report
Salman
Stephen A. Kohn
Self Regulatory Organization
Investment Advisers Act
Kent
Transitional Bonus
UIT
MSPB
Ruemmler
Production Bonus
Burden of Proof
Notice
Alcoholism
Jury Instructions
Harris
finra
Confirmation
NPI
Sterne Agee
ALJ Foelak
NMS
Covid-19
Shotgun Pleading
Risk
Romer
Article V
Motiion to Acquit
Fraudulent Inducement
Grievance
LOA
annuities
Wires
Crowdfunding
Hacker
Confidential Customer Information
defamation
Rule 12511
Bob Dylan
Data
Meals
Office of Special Counsel
Escrow
Clearing Firm
Bill singer
Unauthorized Trades
Stipulation
Reasonable
SIFMA
S&P
Microcap
elderly
Motion to Postpone
Electronic Communications
Fidelity Brokerage Services
Public Arbitrator
Dostoevsky
Bezos
Municipal Bonds
Berthel Fisher
ETFs
Expert
EDVA
FOREX
Currency
CNBC
Income
Capitalism
No Show
Series 79
Guardian
Punitive
Cryptocurrencies
PN
Exotic ETF
Clayton
Lexicon
Reg D
Ecuador
Production
Hayden
Newbridge
MDLA
Daughter
Witness Tampering
JPMorgan Chase
NYLIFE
Non-Solicit
Rule 420
Voya
Principal
Quasi Governmental
Exemption
Non Compete
College
Solomon
Day Trading
Disability
Regulation
Elon Musk
Restaurant
Private Actor
Disparate Treatment
Abstention
AI
Chief Compliance Officer
Willfull
Nietzsche
Bequest
Rule 2330
Rule 9216
Unregistered
Fee
Conflicts
Rule 1031
Game of Thrones
whistleblower
Initials
Perjury
Investment Adviser
Howey
Harassment
Vaccarelli
Led Zeppelin
Broke And Broker
Judgments
Traders
Exhaustion Doctrine
SIE
Success Fee
TradeStation
ADR