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Topic List for Li (580 results)
UPDATE: The SEC's Netflix/Reed Hastings Policy and @GaryGensler and @SECGov and the SIM Swap Hack
January 23, 2024
D.A Davidson Wins Unjust Enrichment Arbitration Against Ghost of Christmas Present Former Employee
December 14, 2023
NOW LIVE! The Financial Professionals Coalition, Ltd. Marketplace
December 12, 2023
The Regulatory Hypocrisy of the SEC's New Clearing Agency Governance and Conflicts Rules
November 16, 2023
Divorced Customer Sues Morgan Stanley Over Bond Purchases
October 25, 2023
UPDATE: Scrambling to Keep Pace With The SEC Unbearable Load of Rulemaking
October 17, 2023
UPDATE: Bill Singer, Esq. Files Form TCR with SEC Seeking Investigation of FINRA Election Interference
August 29, 2023
SEC Dismisses Attempt to Do Something About a FINRA AWC
August 14, 2023
The FINRA Crypto Hub-bub and William of Ockham
August 7, 2023
FINRA Can't Quite Put a Name On It: Perjury or False Testimony or Misleading Testimony
July 31, 2023
A Not So Final Closing of the Purchase of a Broker Dealer
July 26, 2023
Federal Court Says FINRA Arbitration Not So Lucid in the Sky with Diamonds
July 19, 2023
Federal Court Says Mere Email Noting Change of Employment Does Not Arise to Solicitation
July 18, 2023
Failure to Launch Three FINRA Rule 8210 AWC Settlements
July 7, 2023
Branch Manager and FINRA Fail to See Red Flags of Unsuitability Involving Senior Customers
June 6, 2023
SEC Orders FINRA to Raise Its Arbitration Forum Gate For Expungements
May 30, 2023
FINRA Pulls Its Punches In Felony Non-Disclosure Settlement
May 22, 2023
FINRA Arbitrator Dismisses 21 Year Old Claim Against Citigroup Global Markets
April 28, 2023
Time to Call False Start Penalty Against SEC Reg ATS Rulemaking
April 19, 2023
2Cir Remands to EDNY Disparate Sentence in Boiler Room Pumping
April 17, 2023
GUEST BLOG: [In]Securities: The Influencers: The SEC Grounds Stars' TRX by Aegis Frumento Esq
March 31, 2023
GUEST BLOG: [In]Securities: Wanting to Break Free: The Delaware Chancery Court Strikes Down Cantor Fitzgerald's Non-Compete Clauses by Aegis Frumento Esq
March 24, 2023
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
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
Lira v. Edward Jones: An Ironic and Cynical Tale of Alleged Discrimination, Harassment, and Retaliation
February 9, 2023
The SEC Toys With A Dead FINRA Expungement Mouse for 50 Months
January 31, 2023
Bill Singer Slams Garbage Regulation on Wall Street
January 25, 2023
Transfer of AMC Shares From Webull Financial to Fidelity Becomes Unfunny Comedy of Errors
January 13, 2023
Imagine That a $10 Million FINRA Arbitration Claim Settles for $100,000
January 6, 2023
Federal Court Says Customer Had Duty To Notify Schwab of Malfunctioning Order System
January 4, 2023
Removal of FINRA Arbitrator Cited by Schwab and Interactive Brokers in HFT Customer Dispute
January 3, 2023
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
Time to Overhaul SEC Whistleblower Program
December 5, 2022
To Err Is Human. To Forgive Is A FINRA Fine.
November 14, 2022
FINRA Arbitrators Slam Losing Respondents with Hearing Fees in Breach of Contract Dispute
November 10, 2022
TD Ameritrade Loses FINRA Customer Arbitration Citing Inaccurate Statements and Forced Liquidation
November 9, 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
A Lack of Finality: The Trevor Saliba Saga at FINRA and the SEC and Again at FINRA
October 10, 2022
SEC Hides Disqualification Waiver Order In High Profile Recordkeeping Release
September 28, 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
A Lack of Finality: The Trevor Saliba Saga at FINRA and the SEC
September 6, 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
FINRA Arbitration Panel Finds TD Ameritrade Grossly Negligent With Form U5
August 15, 2022
Parietti's Predicament And Prosecutors' Puzzling Principles
August 8, 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
GUEST BLOG: [In]Securities: Watching You: The SEC Walks the Beat by Aegis Frumento Esq
July 15, 2022
The Flash Crash, Interactive Brokers, Two Hedge Funds, John Does, and Homer Simpson's Appetite for Donuts
July 6, 2022
Charles Schwab SIP Robo-Adviser Cited In FINRA Arbitration
July 5, 2022
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
J.P. Morgan Securities Demolished In FINRA Non-Solicitation Arbitration
June 6, 2022
FINRA Torches Small Brokerage Firm Over Due Diligence Procedures
May 10, 2022
Arousing the Wrath of the Great and Powerful SEC and FINRA
March 28, 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
Former Cantor Fitzgerald Trader Sues Over Wrongful Termination Involving Child Care Leave
March 7, 2022
Three-Handed Dilemma Grabs NYAG, NYPPEX, Laurence Allen, and FINRA
March 1, 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
SEC Director Calls Awkward Football Audible During Wall Street Gamification Bowl
February 14, 2022
Native American Tribe Investment Portfolio Proves Costly for Purshe Kaplan & Sterling Investments
February 2, 2022
JP Morgan Securities' Regional Director's Affidavit Fails to Carry Day in TRO for Impermissible Solicitation
January 25, 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
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
FINRA Arbitrators Award $1 In Response to $1 Million In Damages Sought (Sort of)
December 13, 2021
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
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
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
FINRA Takes Victory Lapse in Aegis Capital Regulatory Settlement
November 10, 2021
Stipulated Arbitration Award Ends TD Ameritrade Solicitation Dispute
October 28, 2021
After Morgan Stanley Raised Serious Questions in Failed TRO Against Former Employee, The Parties Stipulate to Preliminary Injunction
October 19, 2021
Federal Circuit Court Sustains Registered Rep's Conviction and Sentence of 90 Months
October 18, 2021
Public Customers Win (Sort Of) Undelineated Cause of Action In Oddball FINRA Arbitration
October 13, 2021
FINRA NAC Affirms OHO But Eliminates Heightened Supervision
October 4, 2021
4 questions for Wall Street fraud expert Bill Singer with Host Julie Coleman, Financial Planning
September 9, 2021
The SEC Is Asked to Go Back To The Future to Rewrite History
September 2, 2021
UPDATE: If You Didn't Know But Now Do. If You Hadn't Told FINRA But Did. If You Ask For A Stay But the SEC Doesn't.
August 31, 2021
RIP Charlie Watts: You Can Lose The Backbeat
August 25, 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
FINRA Arbitrators Put It There In Disputed AMZN Options Trade
July 28, 2021
GUEST BLOG [In]Securities: Everybody Knows by Aegis Frumento Esq
July 23, 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
Angry Variable Annuity Customer Vexatiously Pursues His Legal Rights
July 6, 2021
Federal Court Puts the Confidential Back Into Confidential Settlement Agreement
July 2, 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
FINRA Censures and Fines Citigroup Global Markets Inc. for Failed Supervisory System
June 17, 2021
If You Didn't Know But Now Do. If You Hadn't Told FINRA But Did. If You Ask For A Stay But the SEC Doesn't.
June 16, 2021
Native American Tribe's Investment Portfolio Proves Costly for Purshe Kaplan & Sterling Investments
June 9, 2021
2Cir Affirms FINRA Arbitrators Award to Jefferies of $1 Million Liquidated Damages For Aborted Employment
June 7, 2021
The Vanguard Customer Didn't Ask, Didn't Listen, But The Firm's Voicemail Sucks
May 20, 2021
In Pandemic Times An SEC Investment Advisers Act Fraud Complaint Survives a Motion to Dismiss
May 14, 2021
140 Victims Lost Millions In Investment Using Nanotech to Turn Dirt Into Gold
April 26, 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
Federal Circuit Court Says Head Scratchin' Act Not Proof of Securities Fraud Scienter
April 12, 2021
Customer Complaints and Away Settlements -- Matters of Interpretation?
April 9, 2021
FINRA Gives Credit to Credit Suisse for Not Having A Relevant Disciplinary History
April 8, 2021
First Circuit Remands NY Life Racism Case to FINRA Arbitration
March 31, 2021
The FINRA Investor Education Foundation Is A Lonely Hunter
March 24, 2021
Schwab Sued Over Allegedly Malfunctioning Order System
March 23, 2021
11 Cir Sees No Breach of Contract by Ohio National in Variable Annuity Commissions Lawsuit
March 22, 2021
Did You Hear the One About the Oligarch Money Launderer and Arms Dealer?
March 11, 2021
A Court Seems Unimpressed by Financial Exploitation of an Elderly Widow
March 10, 2021
FINRA Suffers Stunning Rebuke by SEC in Tysk Appeal
March 8, 2021
FINRA Censures and Fines Securities America Over Outsourced Onboarding
March 2, 2021
GUEST BLOG [In]Securities: Instant Karma By Aegis Frumento Esq
February 19, 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
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
FINRA Margin Arbitration Proves All That Glitters Is Not Goldman Sachs
January 15, 2021
Voya Racial Discrimination Case Sheds Harsh Light On Wall Street Mandatory Arbitration
January 11, 2021
GUEST BLOG [In]Securities: No-Hopers, Jokers and Rogues By Aegis Frumento Esq
January 8, 2021
Untimely Disclosure of Tax Liens Upends Chief Compliance Officer Via Statutory Disqualification
January 6, 2021
Last Dance for FINRA's Zipper? Nope, SEC Says Let's Do It Again
December 28, 2020
Federal Court Says Former Morgan Stanley Advisor's Discrimination Claims Are Time Barred
December 18, 2020
GUEST BLOG [In]Securities: Sometimes, a Man of Peace By Aegis Frumento Esq
December 11, 2020
Misdirection Leaves COR Clearing Without Insurance Reimbursement
December 9, 2020
Schemes From a California Restaurant
December 7, 2020
Customer's Annuities Lawsuit Backfires During FINRA Arbitration
December 4, 2020
FINRA Fines and Suspends Former NYLIFE Associated Person For Impersonation
December 3, 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 [In]Securities: Eggs from the Golden Goose By Aegis Frumento Esq
November 20, 2020
Who Knows Where The Time Goes With Former JP Morgan Rep's FINRA AWC
November 18, 2020
Identities of SEC Whistleblower and Respondent Bank Outed
November 12, 2020
Federal Court Dismisses Challenge to Six Year Old FINRA AWC
November 11, 2020
The Saad Saga Returns to Federal Court
November 9, 2020
[In]Securities Guest Blog: Singing An American Tune By Aegis Frumento Esq
November 6, 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
Rep Sentenced to 90 Months in Federal Prison On 21 Counts
October 19, 2020
Former Cetera Rep Sues AdvisorNet Financial Over Alleged Supervision and Compliance Failures
October 8, 2020
Not Enough Bull In Stairway to Heaven
October 7, 2020
Federal Court Affirms Federal Jurisdiction in FINRA Arbitration Appeal
September 17, 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
Edward Jones Wins TRO Against Former Employee in Solicitation and Trade Secrets Case
August 24, 2020
[In]Securities Guest Blog: Take it Easy by Aegis Frumento Esq
August 13, 2020
[In]Securities Guest Blog: Out of Touch, Out of Luck by Aegis Frumento Esq
July 30, 2020
SEC Remands Feitelberg Bar to FINRA Citing Respondent's Serious Illness
July 28, 2020
Only One Litigant Shows Up For the FINRA Schoolyard Fight
July 27, 2020
Dubious FINRA Study Finds Female Arkansas Prison Inmates Are Usually Poor and Financially Illiterate
July 24, 2020
The Futility of Futility On Display in FINRA Expungement Dispute
July 17, 2020
Bridgewater Over Troubled FINRA Waters
July 15, 2020
[In]Securities Guest Blog: Good, Bad and Ugly by Aegis Frumento Esq
July 9, 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
[In]Securities Guest Blog: Manicula's Gopher by Aegis Frumento Esq
June 25, 2020
Gregory Acosta Hands FINRA an Earth Shattering, Precedent Setting, Historic, Stunning Defeat
June 24, 2020
Supreme Court Says Disgorgement Not Exceeding Wrongful Net Profits Is Permissible Relief
June 23, 2020
Federal Court Confirms FINRA Arbitration Award But With More Words And Explanations
June 22, 2020
[In]Securities Guest Blog: Gambling Man by Aegis Frumento Esq
June 19, 2020
Federal Court Considers FINRA Arbitrability of Insurance Claims
June 18, 2020
Marilyn Booker v. Morgan Stanley & Co., LLC, James Gorman, and Barry Krouk: FULL TEXT COMPLAINT
June 17, 2020
[In]Securities Guest Blog: School's Out for Summer by Aegis Frumento Esq
June 11, 2020
FINRA Arbitrator Troubled by Rep's Advance Collection of Asset Management Fees
June 10, 2020
What Presidential Sounds Like
June 8, 2020
Federal Courts Grapple With Former TIAA Advisor's Racism and Retaliation Charges
June 2, 2020
Troubling Disconnect and Lack of Appropriate Explanation Found in Scapegoat Defamatory Form U5 FINRA Arbitration
June 1, 2020
[In]Securities Guest Blog: The End of the Line by Aegis Frumento Esq
May 28, 2020
Legend-ary Retirement Plan Embroils Cetera and First Allied in Federal Lawsuit
May 26, 2020
FINRA Says Impeccable Merrill Lynch Has No Relevant Disciplinary History
May 19, 2020
UPDATE: Federal Court Orders Rare TRO In Favor Of Terminated Rep Against Investacorp
May 15, 2020
[In]Securities Guest Blog: Troubled Water Over the Bridge by Aegis Frumento Esq
May 14, 2020
FINRA Censures, Fines and Orders Restitution in Suitability Settlement
May 6, 2020
Federal Court Orders Rare TRO In Favor of Terminated Rep Against Investacorp
May 5, 2020
[In]Securities Guest Blog: Life's for the Living by Aegis Frumento Esq
April 23, 2020
SEC Announces Two Whistleblower Awards But One Is A Redacted Puzzle
April 21, 2020
IRA Dispute Offers a Bleak House for Fidelity Stockbroker
April 20, 2020
Federal Courts Consider Disturbing FINRA Customer Arbitration Decision
April 17, 2020
[In]Securities Guest Blog: Small Worlds by Aegis Frumento Esq
April 16, 2020
Registered Rep Goes Down for the Count -- All 21 of Them
April 1, 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
Not Enough Bull In Stairway to Heaven
March 10, 2020
Bill Singer's Annual Warning: Disclose Your Tax Liens
March 4, 2020
[In]Securities Guest Blog: A Political World by Aegis Frumento Esq
February 13, 2020
Court Rejects Late Breaking Wisdom As Too Late in FINRA Arbitration Appeal
February 7, 2020
Oppenheimer Wins FINRA Arbitration Award For Stabilization Compensation
February 4, 2020
FINRA Arbitrator Invokes Ineligibility Sua Sponte To Bar Expungement
February 3, 2020
FINRA AWC Cites Dubious Options Strategy In IRA Account
January 31, 2020
FINRA Arbitrator Says It's Too Late To Turn Back Now
January 27, 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
FINRA Settles Case Involving What Looks Like A Felony But Isn't
January 17, 2020
[In]Securities Guest Blog: Drunk on a Plane by Aegis Frumento Esq
January 16, 2020
[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
Fantasy Football Arrives To Wall Street and Freedom Is At Stake
December 30, 2019
[In]Securities Guest Blog: And So This Is Christmas by Aegis Frumento Esq
December 24, 2019
[In]Securities Guest Blog: Lawyers, Guns and Money by Aegis Frumento Esq
December 12, 2019
Customer Carries 31 Year Old Grudge Into Broker Expungement Case
December 11, 2019
Synapse Financial Technologies Sued For Harassment, Discrimination and Retaliation
December 10, 2019
FINRA Arbitrator Saves Innocent Stockbroker Caught In the Middle By Settled Customer Complaint
December 2, 2019
[In]Securities: Who'll Be Watching Whom? by Aegis Frumento Esq
November 21, 2019
SEC Whistleblower Program: Three Persons Deemed One Claimant and the 8/10ths of a Human Being
November 19, 2019
Federal Court Denies FINRA Arbitration of NY Life Racism Case
November 18, 2019
FINRA Addresses Light Bulb and Coffee Cake Abuses
November 15, 2019
Tower Research Capital Not Such a CFTC Bad Boy After E-Mini Fraud
November 8, 2019
Supreme Court to Decide Whether Disgorgement is Penalty or Equitable Relief
November 4, 2019
[In]Securities Guest Blog: Everybody Knows by Aegis Frumento Esq
October 31, 2019
SEC ALJ Order Discusses Character Witnesses and Inability to Pay
October 30, 2019
[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 Wall Street Simulacrum of Regulation (Now Online and in Video Format)
October 14, 2019
The Illogical Logic of FINRA's Willful Non-Disclosure of Tax Liens
October 11, 2019
[In]Securities Guest Blog: Singin' the Varsity Blues, Part 2: Whose Intentions Are Good by Aegis Frumento
October 3, 2019
Citigroup's Cryptic Cryptocurrency Case
September 20, 2019
FINRA's JPM Omelet Ends With Egg On the Regulator's Face
September 17, 2019
Perplexing FINRA AWC About the Likely Statutorily Disqualified Rep
September 13, 2019
[In]Securities GUEST BLOG: Not the One You Need by Aegis Frumento Esq
September 12, 2019
Court Allows Wells Fargo Stockbroker to Contact Former But Not Current Clients
September 10, 2019
FINRA Bars NYLIFE Rep Over Debit Card Expenses
September 6, 2019
[In]Securities GUEST BLOG: Walk Like a Man by Aegis Frumento, Esq
September 5, 2019
FINRA AWC Cites Prospective Customer, Possible Investor, and Proposal
September 4, 2019
UPDATE: SEC Sustains Saad Sanction Saga
August 26, 2019
FINRA Puts Lime Brokerage in the Self-Regulatory Coconut
August 21, 2019
Federal Court Grapples With Compliance Officer's Whistleblowing to FINRA
August 14, 2019
District Court Denied Morgan Stanley Injunction In Non Solicitation Case
August 9, 2019
Anonymous Tip to FINRA's Securities Helpline for Seniors Gets Stockbroker Barred
July 31, 2019
GUEST BLOG: Sittin' On the Dock by Aegis J. Frumento Esq
July 25, 2019
GUEST BLOG: What Can We Do To Increase Diversity? by Linde Murphy
July 19, 2019
GUEST BLOG: The Great Pretender by Aegis Frumento Esq
June 27, 2019
Wells Fargo Banker and Broker Loses Humpty Dumpty FINRA Arbitration
June 24, 2019
GUEST BLOG: Hero Takes a Fall by Aegis Frumento Esq
June 13, 2019
Comerica Securities Tells Suing Customers It Ain't Me, Babe
June 12, 2019
FINRA Arbitrator Denies Expungement For Legally Meritless Customer Complaints
June 11, 2019
Courts Tell Divorced Stockbroker to Try A Little Bit Harder
June 7, 2019
SEC Acts In the Public Interest And Renders $3 Million Whistleblower Award
June 4, 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
Seller's Remorse Upends Investment Firm Sale In FINRA Arbitration
May 8, 2019
FINRA Censures and Fines Firm Over Supervision of Watch and Restricted Lists
May 6, 2019
Bottle of White, Bottle of Red, Perhaps An Assisted Living Bond Instead at FINRA Arbitration
May 3, 2019
GUEST Blog: The Strangled Cries of Lawyers in Love by Aegis Frumento Esq
April 18, 2019
UBS Wins EFL Arbitration On Wall Street With No Name
April 17, 2019
GUEST BLOG: Inversions by Aegis Frumento Esq
April 11, 2019
Death Craps Out With Viatical Settlement Dice
April 9, 2019
SEC Scheduling Order: The Nuts and Bolts of Trying Your Case
April 5, 2019
FINRA Arbitration Asks If Conservative Strategy Was Too Conservative
April 2, 2019
Ex-Husband Says Ex-Wife and Stockbroker Looted Insurance Proceeds From Joint Account
April 1, 2019
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
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
FINRA Finds (AGAIN!) That Ameriprise Stockbroker Altered and Concealed Evidence in Customer Arbitration
March 13, 2019
Wife Says JP Morgan and Stockbroker Scammed Her In ReFi of Ex-Husband's Mortgage
March 8, 2019
Stockbroker Infallibility Too High A Bar Says FINRA Arbitrator
February 15, 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
BREAKING NEWS: Roger Stone Jr. Indicted on Obstruction, False Statements, and Witness Tampering
January 25, 2019
Federal Court Considers SEC Subpoena of Outside Consultant Records
December 27, 2018
Hymn for the Missing FINRA Public Customer Claimant
December 18, 2018
The Complaining Customer Is Dead, The File Is Lost, But A Stockbroker Battles On for Expungement
December 7, 2018
Former First Republic Securities Employee Wins $1.1 Million FINRA Arbitration Award
December 4, 2018
Son Calls FINRA Senior Helpline About Trading In Mom's Account
November 27, 2018
GUEST BLOG: Giving Thanks by Aegis Frumento Esq
November 22, 2018
Getting Stoned Takes On New Meaning Plus Bonus Grandparent Alert
November 21, 2018
Stockbroker Wins Expungements of Decade Old Customer Complaints
November 20, 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
Sole Beneficary Grandnephew Sues Morgan Stanley Questioning Mom's Capabilities
November 5, 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
E*Trade Best Execution Case Reaches Federal Appeals Court
October 30, 2018
Psst . . . Here's a $10,000 Settlement Check But Don't Cash It
October 19, 2018
Stuck Inside Of Mobile with the Holiday Inn Blues Again
October 16, 2018
Morgan Stanley Customer Sues Over Forced Stop Loss
October 10, 2018
10 Years After, World Is Changed For Ameriprise Stockbroker In FINRA Expungement
October 9, 2018
Last Dance? SEC Hopes It Has Finally Zipped Zipper Appeals
October 3, 2018
LPL Stockbroker Wins FINRA Expungement Despite Six Figure Customer Settlement
October 1, 2018
Stockbroker Pays Undisclosed Customer Settlement But It All Explodes Anyway
September 26, 2018
UPDATE: 11Cir Sustains SEC and FINRA On Willful Failure to Disclose Tax Liens
September 21, 2018
FINRA Arbitrator Tells Customers Suing Citigroup That It's Too Late Baby
September 20, 2018
GUEST BLOG: A Tale of Two Tables by Aegis J. Frumento Esq
September 18, 2018
SEC Severely Reduces Whistleblower Award for Unreasonable Filing Delay
September 17, 2018
GUEST BLOG: How the SEC Would Run (and Ruin) Your Firm by Aegis Frumento Esq
September 13, 2018
FINRA Arbitrators Admit FINRA SEC Regulatory Settlements In UBS Puerto Rico Case
September 4, 2018
GUEST BLOG: Twits or Tweeters by Aegis Frumento
August 30, 2018
Date of Birth on Driver License Crashes Stockbroker Career
August 28, 2018
Chancery Court Denies TRO After Alleged Defamation to SEC and FINRA
August 20, 2018
$5 Million Awarded In FINRA Customer Arbitration. Now Let's Beat the Dead Horse
August 17, 2018
10 Year Employee Forgivable Loan Battle Frustrates UBS
August 13, 2018
The Greek Yogurt Justice of Strained FINRA Mercy
August 8, 2018
GUEST BLOG: Securities Fraud? Or Just Bullshit? by Aegis Frumento, Esq
August 7, 2018
AAA Arbitrator Disclosures Upend JPMorgan Chase Bank Employment Lawsuit
August 6, 2018
UPDATE:Non-Attorney Representatives Involved In FINRA Arbitration Blight
July 23, 2018
5% Solution In FINRA Expungement Arbitration
July 13, 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
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
FINRA Suspends Stockbroker For Reimbursing Customer Options Losses
June 11, 2018
SEC ALJ Denies Disqualification of Wedbush Lawyer
June 8, 2018
Wall Street Career Cashed Out Over Identity Theft and Gift Cards
June 7, 2018
Feuding Stockbrokers Set Stage for Expungement of Cookie Cutter Customer Complaints
June 1, 2018
FINRA Fines And Suspends Merrill Lynch Rep for Check Kiting
May 29, 2018
The Disqualified Stalking Felon Stockbroker, The Texting Stockbroker, The Missouri Waltz, and FINRA
May 17, 2018
FINRA Orders Partial Restitution in Activity Letter Settlement
May 8, 2018
Pro Se Employee Eviscerated in FINRA Employment Expungement Arbitration
May 3, 2018
Solicited System Snafu Stiffs Settling Stifel Stockbroker
May 2, 2018
UPDATE: Medical Marijuana Biz Goes Up In SEC Smoke
May 1, 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
Crash and Burn Upon Entry Into Wall Street
April 6, 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 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
Federal Court Sustains FINRA / SEC Over CEO Reckless Disregard of Net Cap Rule
March 12, 2018
Citi Hit With Over $4 Million Award In Wrongful Termination Arbitration
March 5, 2018
Non-Attorney Representatives Involved In FINRA Arbitration Blight
March 1, 2018
Scottrade Customer Margin Case Tossed During Discovery
February 23, 2018
Customer Appeals Wells Fargo Arbitration Loss To Federal Court
February 21, 2018
Days Late and Dollars Short For Former Oppenheimer Employee
February 14, 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
Ameriprise and Former Rep Battle It Out Over EFL and Defamation
February 1, 2018
The SEC, The Federal Inmate, And The Florida Bar Advice
January 29, 2018
Abuse And Harassment On Wall Street
January 25, 2018
Stockbroker Expunges 7 Year Old UBS Customer Suitability Complaint
January 24, 2018
FINRA Arbitrators See No UBS, Citigroup, or Merrill Customers And Dismiss Case
January 23, 2018
FINRA Sanctions Charitable Remainder Trust Pitch
January 22, 2018
UBS Complex Director Wins Margin Call Battle
January 19, 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
The Dead Father, Feuding Kids, Stockbroker In The Middle, and the Lawsuit
December 26, 2017
U Can't Touch This PERFECT FINRA Suitability Arbitration Decision
December 15, 2017
FINRA Arbitrator Holds Public Customer Claimant In Contempt
December 13, 2017
Season's Greetings From FINRA. You're Fined and Suspended. Ho, ho, ho.
December 12, 2017
Feds Halt Seinfeld Bottle Deposit Scam
December 6, 2017
UPDATE: SEC Says No Mulligans For FINRA Settlements
November 29, 2017
FINRA Suitability Settlement Involves Five Elderly Retired Morgan Stanley Customers
November 27, 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
CEO CCO FINOP Fined And Suspended Over Classification of Personal Expenses
November 20, 2017
California Denies Expungement of NASD and Ohio Regulatory Disclosures
November 13, 2017
SEC Nixes Stay of Statutory Disqualification
November 8, 2017
FINRA Tackles Insurance Claim Allowable Assets. But Is It Relevant?
November 3, 2017
FINRA Hides The Name of An Affiliated Bank
October 27, 2017
FINRA Suitability Rule and the Unsophisticated Investor
October 23, 2017
Dazed and Confused by FINRA Private Securities Transaction Rule
October 17, 2017
SEC Saad Saga Still Slogs Still Sags
October 16, 2017
Fidelity Sues Financial Consultant Over Secrets and Unfair Competition
October 11, 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
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
The Elderly and Blind Customer, The Stockbroker, The Joint Account, and 2 Apartments
September 14, 2017
Veteran Sues USAA Investment Mgmt Over Alleged Mental Disability
September 7, 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
FINRA Public Customer Arbitration Decision Becomes A Legend
August 23, 2017
Zombie Customer Complaint Will Not Die After 35 Years
August 22, 2017
Negligent Market Manipulation In OTC Stock Promotion
August 18, 2017
$5.5 Million Power of Attorney Doctor Sees Dead Lawyers
August 11, 2017
FINRA Felony Jigsaw Puzzle
August 10, 2017
This Wall Street Train of Regulation Don't Pull No FINRA Winkers
August 8, 2017
Darrell Whitman Petitions Attorney General Sessions About Wells Fargo Investigation
August 7, 2017
2Cir Affirms Icahn Victory In Options Disgorgement Case
August 4, 2017
Tullet Prebon Wins Blackballing Arbitration
August 2, 2017
UBS v. Fiore: Let The Games Begin
July 27, 2017
BREAKING NEWS: Second Circuit Overturns Rabobank LIBOR Convictions
July 19, 2017
UPDATE: SEC Denies Wanger Re-Entry Into Industry
July 12, 2017
FINRA Disciplinary Settlement Raises Relevancy of Any
July 10, 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
Market Fragility and Interconnectedness
June 23, 2017
BREAKING NEWS: FINRA Wins Round One of Scottsdale 144 Case
June 21, 2017
VXX Vice Versa Vexes Veteran Stockbroker
June 21, 2017
Sales Assistant and Broker Impersonate Client and Son
June 12, 2017
FINRA's Foolish Inconsistency
June 9, 2017
BREAKING NEWS: SEC Loses Supreme Court Kokesh Disgorgement Case
June 5, 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
Customer Loses $6.6 Million VirnetX Case Against JP Morgan
May 11, 2017
FINRA Hoisted With Its Own BrokerCheck Petard
May 9, 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
Misconduct Bricks In FINRA Wall of Statutory Disqualification
April 26, 2017
FINRA's Three Handed Monster of a Settlement
April 25, 2017
Broker Dealer Owner Smoked by FINRA in Cannabis Deal
April 20, 2017
FINRA Settles With Advisor Who Acted as POA and Health Surrogate
April 18, 2017
Citigroup, Its Former Employee, A Breached Contract, Six Blind Men, One Elephant, and FINRA Arbitration
April 17, 2017
FINRA Arbitrators Find Everyone At Fault In Customer Case
April 14, 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
Casino Bets Fade Investors Retirement Savings
April 5, 2017
Stockbroker Barred For Abusive Conduct Deemed Threat to Public and Industry
March 30, 2017
Expunging Customer Dispute Information Under FINRA Rule 2080
March 29, 2017
Where There's Willfulness There's No Way At FINRA
March 28, 2017
Warp Speed Dismissal in Lightspeed Trading Arbitration
March 24, 2017
Damnable Costs of FINRA Expungement
March 20, 2017
Inconsistent FINRA Findings of Willful Nondisclosure Persist
March 13, 2017
FINRA Cites Pennystock Sales By Feltl Rep While Customers Buying
March 10, 2017
Life Insurance, Wife Insurance, and FINRA Life Settlement Regulation
March 9, 2017
Public Customer Sues Merrill Lynch for $7.3 Trillion
March 8, 2017
UPDATE: FINRA Punches Ticket of Rep Over Office Parking Validation
March 6, 2017
FINRA Sanctions Emailing of Private Consumer Info
March 2, 2017
FINRA Punches Ticket of Rep Over Office Parking Validation
February 27, 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
Medical Marijuana Biz Goes Up In SEC Smoke
February 10, 2017
NASD Charges Member For Pursuing Research Biz. Or Was That FINRA?
February 9, 2017
Real Estate Flipper Sued For Investment Fraud
February 8, 2017
Google Subpoena Withdrawn in Brummer v. Wey Defamation Case
February 7, 2017
Promissory Notes Sales Cause FINRA Domino Effect
February 1, 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
Tax Liens and Wall Street Disqualification
January 12, 2017
SEC Settles 3 RIA Referral Fees Cases
January 11, 2017
FINRA Arbitrators Slam Wedbush In Pay Dispute
January 10, 2017
Citigroup Wins Stale FINRA Customer Suitability Arbitration
January 4, 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
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 Charges Adviser Stockbroker With Wheel Turnin' Round And Round Fraud
December 16, 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
Stockbroker Excel Error And Clients Liquidation Losses
December 8, 2016
The Some and Almost All Of A FINRA Unauthorized Discretion Settlement
December 6, 2016
Stockbroker Goes Aground on FINRA Day Trading Endeavor Bar
December 2, 2016
Federal Judge Says What She Means In ARS Case
November 30, 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
Former Wells Fargo Rep Shocks Firm With Her Stunning Arbitration Win
November 21, 2016
Whatcha See is Whatcha Get In FINRA Settlement
November 16, 2016
FINRA Faked Out By Move
November 14, 2016
FINRA Settles Non Disclosure Of Tax Liens Without Finding Willfulness
November 11, 2016
FINRA Sanctions Lack of Proactive Compliance
November 3, 2016
Wage Garnishments Are FINRA Smoke Signals
November 1, 2016
SEC Sends Second Valentine Message Not Filled With Love
October 28, 2016
The Chief Compliance Officer, The Taxman, And FINRA
October 24, 2016
FINRA Cites Unfair ACAT Charge And Slow Transmittal of Funds
October 19, 2016
Texas State Senator Rodney Ellis Wins FINRA Employment Arbitration
October 4, 2016
NY Life Rep Crosses Arbitration Rubicon With Expungement Case
September 28, 2016
UPDATE: SEC Settlement Gives Respondent 168 Years To Pay
September 26, 2016
SEC Says Independence Compromised By Auditor And Client Friendship
September 23, 2016
Town Treasurer, Brokerage Financial Principal, Forged Checks, and Heroin for Sex
September 15, 2016
Former Schwab Stockbroker Obliterates Firm In Wrongful Solicitation Case
September 14, 2016
The Best Offense Is A Good Defense
September 9, 2016
SEC Begins Sexual Healing of Public Relations Sex Machine
September 8, 2016
California Court of Appeal Says FINRA Expungement Hearing Unfair
September 1, 2016
Cyber Security for Financial Firms
September 1, 2016
SEC Proceeding Is A Travesty of a Mockery Of a Sham of a Mockery of a Travesty of Two Mockeries of a Sham
August 31, 2016
The Gilligan's Island Iliad Odyssey of a FINRA Customer Arbitration
August 30, 2016
Compliance Is A Sentence, Not A Word
August 26, 2016
I Don't Want To Miss A Thing In Customer's Armageddon FINRA Arbitration
August 22, 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
Banker Broker Barred Over Rebate of Overdraft Fees
August 8, 2016
Double Trouble On Wall Street
August 4, 2016
FINRA Says It's A Matter of Trust Or Is That Trustee?
July 29, 2016
Time And Chance on Wall Street And A Customer's Belated Arbitration Complaint
July 27, 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
All Along The Wall Street Watchtower
July 14, 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
Led Zeppelin, Brexit, And Manny the Songbird
June 24, 2016
CCO Fined and Suspended For Missing Private Securities Transaction
June 14, 2016
BrokerCheck Dispute Says FINRA Wrongly Says SEC Bar is Permanent
June 9, 2016
Deutsche Bank Directors Indicted for LIBOR Fraud
June 6, 2016
The Paralysed Force of the SEC And Its Gesture Without Motion
May 31, 2016
Wordless Songs and the Sounds of Crickets on Wall Street
May 27, 2016
SEC Can't Reach Federal Inmate For Telephonic Hearing
May 26, 2016
Ameriprise Stockbroker Altered and Concealed Evidence in Consumer Arbitration
May 19, 2016
BREAKING NEWS: Supreme Court Rules On Manning v. Merrill Lynch
May 16, 2016
Online Microcap Finder Fee Platform Raises FINRA Regulatory Concerns
May 12, 2016
SEC Files Complaints Alleging Pump And Dump Scheme Involving Shell Company
April 27, 2016
Approved Outside Business Activity Morphs Into A Troubling Private Securities Transaction
April 27, 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
UPDATE: READ FULL-TEXT Apple Inc Motion To Vacate
February 25, 2016
FULL TEXT Motion to Compel in Farook / Malik iPhone 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
Brokerage Firm Censured and Fined for Undetected Statutorily Disqualified Rep
February 3, 2016
FINRA Email AWC Raises Question About Regulatory Hypocrisy
January 29, 2016
FINRA Fines And Suspends Rep For Service as Director
January 22, 2016
Macquarie Pays $2.95 Million Blue Sheets Fine
January 6, 2016
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
Yabba Dabba Doo In Unbeknowst FINRA Embezzlement AWC
December 2, 2015
Stockbroker Sanctioned For Trades For Client She Thought Was Autistic
November 4, 2015
Stockbroker Fined and Suspended Over Limited Partnerships and Notes
October 21, 2015
Sad Saad Saga Sought Second SRO / SEC Shot
October 15, 2015
SEC Goes After Disbarred Lawyer For Investment Advisory Activity
October 9, 2015
Bank Employee Charged With Illegal Access of 730,000 Accounts
October 7, 2015
FULL TEXT DOJ Individual Accountability Memo ONLINE at BrokeAndBroker.com
September 10, 2015
SEC ALJ Sent To Woodshed In Remanded Listing Revocation
August 28, 2015
FINRA Jams Ditto Copying of Trades
August 17, 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
UPDATE: Former Stockbroker Sues FINRA Over Online Disclosure of 18 Year Old Settlement
August 7, 2015
SEC ALJ Issues Breathtaking Dismissal Of Compliance Professional Case
August 6, 2015
FINRA Bars Top Producer For Charging Commissions Instead Of Fees
August 3, 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
Website, Social Media, Fees,and Email Fall Off Compliance Officer's Radar
July 20, 2015
SEC Commissioner Aguilar Says Commissioner Gallagher Wrong About Chief Compliance Officer Regulation
June 30, 2015
UPDATE: SEC Derails Scam Train On Trading Platform
June 15, 2015
FINRA Says You've Got A Friend, Fine, and Suspension
June 12, 2015
A Brief History of FINRA ETF Time
June 4, 2015
JPMorgan Chase, Citigroup, Barclays, RBS, And UBS Seek SEC Reg D Waivers
May 21, 2015
BREAKING NEWS: Supreme Court Rules on 401(k) Plan Prudent Management
May 18, 2015
FINRA Wrestles With Serious,Aggravating, And Egregious Filing Failures For Forms U4 and BD
May 14, 2015
Sympathy For The Bankruptcy Devil In A FINRA Arbitration
May 8, 2015
Wells Fargo Defrauded By Online Dating Check Scam
May 7, 2015
FINRA Moves to Dismiss Spoliation Claims
May 5, 2015
What A Difference A Day Makes For Leveraged ETFs
May 4, 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
Stockbroker Denied Expungement In Suitability and ETF Arbitration
April 20, 2015
FINRA Arbitrators Say Ineffective Fiduciary Did Not Breach Fiduciary Duty
April 17, 2015
SEC Derails Scam Train On Trading Platform
April 13, 2015
FULL TEXT Complaints And Answers in Pao v. Kleiner Perkins
March 27, 2015
Customer Wins $378,000 in Ultra Short ETF Lawsuit
March 23, 2015
SEC Grants FINRA An Extraordinary Voluminous Extension
March 19, 2015
The Amazing Mobius Strip Of Wall Street Regulation
March 18, 2015
FINRA Fines Firm For Miscommunication Between Compliance And Payroll
March 13, 2015
Schwab Seeks $6 Million In Solicitation Dispute
March 12, 2015
After Credit Card Expense Suspension, Stockbroker Barred By Liens And Judgments
February 27, 2015
SEC Nixes Reconsideration Of FINRA Client Files Case
February 25, 2015
FINRA Wins Discrimination Retaliation Lawsuit
February 23, 2015
Former Stockbroker Sues FINRA Over Online Disclosure of 18 Year Old Settlement
February 19, 2015
Is FINRA Actin' Kinda Shady In Naming (Or Not) Banks?
February 5, 2015
The Butcher, Baker, Candlestick Maker and Wall Street CPA
January 22, 2015
What The Hell Is A Preferred Alternative Allocation?
January 20, 2015
SIFI Snoopy In Constitutional Dogfight With Feds
January 15, 2015
Lien-ing Tower Prompts FINRA Fine And Suspension
January 9, 2015
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