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SEC Sustains in Part and Remands FINRA Case Against Southeast Investments and President Black
December 8, 2023
Blackbook Capital Versus FINRA: A Decade of Battle
March 6, 2023
Barred Stockbroker Charged With Five Counts of Wire and Mail Fraud. Did Any Victim Do Any Due Diligence?
August 18, 2022
Equity And Justice Prevail In Breathtaking FINRA Expungement Award
August 1, 2022
FINRA Fines and Suspends Former Morgan Stanley Rep For Putting Compliance Cart After the Horse
May 18, 2022
FINRA and SEC Continue Dakota / Zipper Ping Pong Game of Dubious Regulation
March 18, 2022
The Collision of the Inept With The Incompetent -- A Wall Street Compliance and Regulatory Tale
December 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
There's Something Happening Here (at a FINRA Arbitration ) But What It Is Ain't Exactly Clear
November 8, 2021
Federal Circuit Court Sustains Registered Rep's Conviction and Sentence of 90 Months
October 18, 2021
FINRA Arbitrators Cite RBC Investigator's Tactics In Disrespectful Award
May 27, 2021
The Vanguard Customer Didn't Ask, Didn't Listen, But The Firm's Voicemail Sucks
May 20, 2021
Federal Court Says Second Amended Complaint Looks Too Much Like First Amended Complaint
May 11, 2021
Not Getting Away With What You Are Trying To Get Away With On Wall Street
February 22, 2021
Last Dance for FINRA's Zipper? Nope, SEC Says Let's Do It Again
December 28, 2020
After Midnight It All Hangs Out In Morgan Stanley Arbitration
December 14, 2020
California Court of Appeal Holds Its Ground After Rehearing Tilkey v. Allstate
October 28, 2020
Rep Sentenced to 90 Months in Federal Prison On 21 Counts
October 19, 2020
Discovery Misconduct by FINRA Enforcement Prompts Tepid Response from Regulator
September 22, 2020
UPDATE: FINRA Says Brokerage Fee An Undisclosed Commission
August 12, 2020
SDNY Says You're Gonna Have To Serve Somebody (And Email Ain't Gonna Cut it)
August 11, 2020
The Walls Came Down Between Research and Investment Banking
July 8, 2020
UPPER CASE MESSAGES!!! EXCLAMATION POINTS!!! AND A FINRA FINE AND SUSPENSION!!!
June 26, 2020
FINRA Arbitrator Sings Signed, Sealed, Delivered and Return to Sender In Default Award
June 9, 2020
Damages Awarded in Form U5 Defamation Case Against Allstate
April 28, 2020
It Ain't Over Till It's Over As Martinovich Appeals Continue
April 10, 2020
Registered Rep Goes Down for the Count -- All 21 of Them
April 1, 2020
[In]Securities Guest Blog: Drunk on a Plane by Aegis Frumento Esq
January 16, 2020
Fee Based Rep Seeks Expungement Over Commissions He Never Charged
December 4, 2019
Does Your Brokerage Contract Bite?
October 9, 2019
Court Says Morgan Stanley Employee Failed to Opt Out of Arbitration Clause
August 27, 2019
FINRA Fines and Suspends Rep for Unauthorized Transfer of 270 Customers' Info
July 16, 2019
The Customer Email Order, the Lunchtime Resignation, and The Angry Morgan Keegan Stockbroker
June 10, 2019
GUEST BLOG: FINRA Chokes on a Smoking Ear by Aegis Frumento Esq
May 23, 2019
Sonny Corleone At the Toll Booth: A Study of a FINRA Email Review Settlement
April 16, 2019
FINRA Fines and Suspends Rep for Emailing Confidential Info Of 1,696 Plan Participants
April 3, 2019
FINRA Settlement Not Fussing And Fighting But Working It Out
March 25, 2019
BREAKING NEWS: Roger Stone Jr. Indicted on Obstruction, False Statements, and Witness Tampering
January 25, 2019
FINRA Gets Email Snafu Right But Its Regulatory Role Wrong
January 15, 2019
Federal Court Says Former Raymond James Employee Was On Notice of FINRA Arbitration
January 14, 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
Stockbroker Plays Hide And Seek With FINRA
November 30, 2018
Stockbroker Told to Provide Personal Email Account Password to Employer
November 12, 2018
Last Dance? SEC Hopes It Has Finally Zipped Zipper Appeals
October 3, 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
As the FINRA WORM Turns
May 25, 2018
FINRA Death Cab for an Un-Fare Email Cutie
April 23, 2018
SEC Zaps Zipper's Second Stay Request
February 7, 2018
FINRA Dispute Hangs Out As SEC Unzips Zipper Appeal
January 16, 2018
Rep Emails Self 1,300 Account Numbers And FINRA Comes A Knockin'
January 9, 2018
FINRA Wrestles With No Debt False Statement Versus Untrue One
December 28, 2017
A Little Bit of FINRA Hypocrisy For $20,000
December 19, 2017
Feds Halt Seinfeld Bottle Deposit Scam
December 6, 2017
UPDATE: SEC Says No Mulligans For FINRA Settlements
November 29, 2017
Spoofing Email Sends Payment To Minneapolis, Shanghai, and Bremen
November 21, 2017
Delayed Resignation,Twitter,and Email Get Stockbroker Fined and Suspended
October 26, 2017
SEC Says No Mulligans For FINRA Settlements
October 3, 2017
$5.5 Million Power of Attorney Doctor Sees Dead Lawyers
August 11, 2017
SEC Settlement Cites Trading Ahead of Research
June 27, 2017
FBI Agent Josh and Where's Waldo? Where's OWB?
May 26, 2017
GUEST BLOG: Are Decepticons Duplicitous? by Stephen Kohn
April 28, 2017
FINRA Settles With Advisor Who Acted as POA and Health Surrogate
April 18, 2017
Decepticons Invade FINRA As Nationwide Email Program Reload Fails
April 10, 2017
$9 Million Diamond Fraud Detailed in Unsealed Criminal Complaint
April 5, 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
Google Subpoena Withdrawn in Brummer v. Wey Defamation Case
February 7, 2017
SEC Hit By Wave Of Petitions For Removal of Post-Bartko Collateral Bars
February 3, 2017
Subpoena Served on Google in Brummer v. Wey Defamation Case
January 31, 2017
SEC Collateral Bars Set Aside In Dramatic Bartko Victory
January 18, 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
FBI Director Comey Offers Wall Street Lawyer Bill Singer Hitch Free US$8 Million
December 23, 2016
Imposter Plays Flag Football With Broker Dealer Wire Transfer
October 25, 2016
Former Schwab Stockbroker Obliterates Firm In Wrongful Solicitation Case
September 14, 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
Feds Charge Alt-Fuel, All Electric Company Simply Old Fashioned Hot Air Stock Scam
August 29, 2016
Foreign Associates Cause FINRA Headache For US Brokerage
August 11, 2016
Feds Unfriend Facebook Fraud Fleecers
July 22, 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
UPDATE: Working The SEC System From Prison
March 24, 2016
UPDATE: Net Capital Violations Become Federal Criminal Case
March 23, 2016
FINRA Cites Firm and Director For Email Supervision
March 18, 2016
Chief Compliance Officer Fined and Suspended For Failed Email Review
March 4, 2016
SEC Cites Stockbroker Over Confidentiality of Inherited Accounts
March 2, 2016
UPDATE:Brokerage CEO Sentenced to Prison in Net Capital Case
February 19, 2016
FINRA Email AWC Raises Question About Regulatory Hypocrisy
January 29, 2016
Stockbroker Alters Customer Phone Numbers and Email Addresses
January 14, 2016
Mexico Security Concerns Posed Postal Risk For Brokerage Customer
January 11, 2016
The SEC Fears The Email Privacy Act
December 3, 2015
Stockbroker Fined And Suspended In Email Transfer of Customer Info From Merrill To Ed Jones
November 18, 2015
Pennystock Kickback Scheme Gets In Last Kicks at SEC
November 13, 2015
Net Capital Violations Become Federal Criminal Case
November 12, 2015
Echoes of A Stockbroker's Mind For A Hacker On A Wire
November 9, 2015
Compliance Advisor Fined and Suspended For Falsifying Data
November 2, 2015
Morgan Stanley Client Service Associate Trips Over Wire Request
October 8, 2015
UPDATE: Polygraph Expert Says It Ain't Lying. It's Nervousness
September 28, 2015
FINRA Fines UBS Over Bloomberg Messages
September 16, 2015
FBI Warns About Business Email
September 2, 2015
Unregistered Activity Proves Katalyst For FINRA Settlement
August 31, 2015
Software Glitch Overwhelms Firm's Email Review
July 23, 2015
Major Fine Slams FINRA Firm For Supervisory Violations
July 22, 2015
Website, Social Media, Fees,and Email Fall Off Compliance Officer's Radar
July 20, 2015
The Goose And Gander Of Forex Fraud Hypocrisy
July 2, 2015
Honor System Fails In FINRA Email Settlement
June 25, 2015
Failed Email Review Offers Example Of Hidden Compliance Costs
June 5, 2015
What Would Hillary Do? FINRA Cites AOL Email Account And Gold / Bank Investments
May 27, 2015
Stockbroker Fined and Suspended For Sending Customer Data To New Firm
May 18, 2015
Polygraph Expert Says It Ain't Lying. It's Nervousness
May 15, 2015
Wells Fargo Defrauded By Online Dating Check Scam
May 7, 2015
Working The SEC System From Prison
May 1, 2015
The Ponzi, The Inmate, And The SEC's 43,000 Pages In The Mail
April 16, 2015
optionsXpress Out Of Email Options
March 26, 2015
Wells Fargo Associate Duped By Email Scam
January 28, 2015
FINRA Email Settlement Raises More Questions Than Answers
January 8, 2015
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