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FINRA Bars Its Arbitration Forum to TDA Customer Citing Unspecified Risks of Health And Safety
January 4, 2024
Former Merrill Lynch Rep Stuck In FINRA Arbitration Expungement Turnstile
January 3, 2024
Will Schwab Sink or Swim with ThinkOrSwim?
October 30, 2023
The Frustrations And Atrocities Experienced by Merrill Lynch Customers
October 12, 2023
The Hidden FINRA Arbitration Costs for Not Repaying a Promissory Note
September 6, 2023
Federal Court Says FINRA Arbitration Not So Lucid in the Sky with Diamonds
July 19, 2023
Court Denies Vacatur of Over $2 Million FINRA Arbitration Award Involving Disputed Customer Transfer and Asset Purchase Agreement
June 21, 2023
FINRA Bars former Securities America Rep For Conversion
April 21, 2023
FINRA Arbitration Award Gives Us A Case of Gas From Chipotle Bean Burrito Puts
April 3, 2023
FINRA's Travesty of a Transamerica Settlement
March 13, 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
Did You Hear The One About The Zombie Who Requested An IRA Distribution?
January 9, 2023
Imagine That a $10 Million FINRA Arbitration Claim Settles for $100,000
January 6, 2023
TD Ameritrade Escapes $1.7 In Damages But An Advisor Gets Slammed by FINRA Arbitrators
December 29, 2022
TD Ameritrade Customer Sues Over Alleged Wrongful Margin Sell-Out
December 22, 2022
TD Ameritrade Loses FINRA Customer Arbitration Citing Inaccurate Statements and Forced Liquidation
November 9, 2022
TD Ameritrade Customer Loses Incorrect Address FINRA Arbitration
October 24, 2022
The Disappearing Act of Elder Abuse in a TD Ameritrade FINRA Arbitration
October 6, 2022
The Deceased Customer, His Estate, The Merrill Lynch Employee, The Trusts, The Annuity, the Expert, and the Lawsuit
September 14, 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
FINRA Arbitration Panel Finds TD Ameritrade Grossly Negligent With Form U5
August 15, 2022
Overtime at Merrill Lynch Prompts Uneven-Handed FINRA Regulation
August 12, 2022
FINRA Rights REIT Wrongs With Fine and Suspension
April 18, 2022
The 90 Year Old Customer, The Trust Account, Merrill Lynch, the Asset Sale, and the Margin Trade
April 7, 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
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
FINRA Arbitrators Award Over $2 Million In Disputed Customer Transfer and Asset Purchase Agreement
March 8, 2022
Three-Handed Dilemma Grabs NYAG, NYPPEX, Laurence Allen, and FINRA
March 1, 2022
UPDATE: The Google, Candido Viyella, Morgan Stanley, Fundacion Nicor Panama Saga: a Bill Singer 2022 Copyrighted Article fighting DMCA Takedowns
February 24, 2022
The Candido Viyella, Morgan Stanley, Fundacion Nicor Panama Saga: a Bill Singer 2022 Copyrighted Article fighting DMCA Takedowns
February 21, 2022
FINRA Arbitration Award Limits Social Media Liking and Linking
January 18, 2022
Two of Three FINRA Arbitrators Ironically Disappear In Unexplained Expungement Award
November 16, 2021
No Margin For Error With Options Expiration
November 1, 2021
Frustrated Former Merrill Lynch Employee Could Not Be Promoted But Maybe Could Have But the Firm Says It Didn't Have To
October 29, 2021
Stipulated Arbitration Award Ends TD Ameritrade Solicitation Dispute
October 28, 2021
The FINRA Expungement of A Customer Complaint That Was Not a Complaint Or From A Customer
October 11, 2021
FINRA, Crypto, Covid, and Outside Business Activities
September 22, 2021
FINRA Fines and Suspends Young Merrill Trader For Spoofing Treasuries
September 14, 2021
FINRA AWC Did Not Require Acceptance of Findings But Why Does Regulator Publish Denials?
August 9, 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 Arbitrators Directly Nullify Indirect Non Solicitation Agreement
July 13, 2021
Veteran Journalist Susan Antilla Discomforts Wall Street Over Racism
June 22, 2021
The TD Ameritrade Stockbroker and The Customer Were Friends Until Options Trading Came Between Them
June 8, 2021
2Cir Affirms FINRA Arbitrators Award to Jefferies of $1 Million Liquidated Damages For Aborted Employment
June 7, 2021
Federal Court Cites Confusion Of Ray Jay's Many Raymond Jameses
May 5, 2021
11 Cir Sees No Breach of Contract by Ohio National in Variable Annuity Commissions Lawsuit
March 22, 2021
FINRA Suffers Stunning Rebuke by SEC in Tysk Appeal
March 8, 2021
Finders Keepers Losers Weepers Ends With FINRA Bar
February 25, 2021
Not Getting Away With What You Are Trying To Get Away With On Wall Street
February 22, 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
Did You Hear The One About The Customer Who Sued Because He Didn't Know Insider Trading Was Illegal?
January 5, 2021
Federal Court Affirms Merrill Lynch Victory in Nigerian Discrimination Case
December 22, 2020
Schemes From a California Restaurant
December 7, 2020
The LPL Stockbroker, The Customer Lawsuit, The Expungement Arbitration, and The SLAPP Lawsuit
December 1, 2020
FINRA Gives Rep the Business Over Personal Expenses
November 17, 2020
NYS Appellate Division Hands Defendants Setback In Lawsuit with Brummer and FINRA
October 22, 2020
FINRA Fines Small Firm And its Owner For Misclassification of Expenses
October 21, 2020
FINRA Fines and Suspends Merrill Lynch Rep Over Apartment Rentals
October 14, 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
The Boogie Woogie Crypto Man of Company C
August 28, 2020
Edward Jones Wins TRO Against Former Employee in Solicitation and Trade Secrets Case
August 24, 2020
FINRA Arbitrators Find Customer Complaint Made Virtually No Sense During Virtual Hearing
August 19, 2020
UPDATE: Ir-Rationale FINRA Merrill Lynch EFL Arbitration Decision Cited By Tax Court
August 10, 2020
Only One Litigant Shows Up For the FINRA Schoolyard Fight
July 27, 2020
[In]Securities Guest Blog: Gambling Man by Aegis Frumento Esq
June 19, 2020
Stockbroker Expungement Grapples With Death and Taxes in Time of Plague
June 5, 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
FINRA Says Impeccable Merrill Lynch Has No Relevant Disciplinary History
May 19, 2020
Customer Sues TD Ameritrade For Failure to Investigate Fraudulent Debit Card Transactions
May 8, 2020
Federal Court Cites Confusion of Ray Jay's Many Raymond Jameses
May 4, 2020
Texas Court of Appeals Reverses $3 Million TD Ameritrade Customer Victory
April 15, 2020
Federal Courts Okay FINRA Unexplained Arbitration Decision
March 30, 2020
Hot Shoe Burnin' Down Wall Street In FINRA Morgan Stanley Panama Arbitration
February 27, 2020
FINRA Fines And Suspends Rep Over Unauthorized Signatures on Self Directed IRA Transfers
February 25, 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
Fantasy Football Arrives To Wall Street and Freedom Is At Stake
December 30, 2019
Fee Based Rep Seeks Expungement Over Commissions He Never Charged
December 4, 2019
What If A Much of a Which of a Wind Gives the Truth to a FINRA Arbitration Lie?
November 26, 2019
Texas Two-Step: 2 FINRA Arbitrations, 2 Texas State Courts, and 2 Texas Federal Courts
October 16, 2019
[In]Securities Guest Blog: Money for Nothing by Aegis Frumento
October 10, 2019
Guest Blog: Merrill Lynch Production Policy Causes Age Discrimination by Jerry Marks, Esq
October 7, 2019
Astounding 20 Criminal, Regulatory, and Compliance Cases Featured in Securities Industry Commentator
October 1, 2019
Old CUSIP. New CUSIP. And a Customer Sues TD Ameritrade
September 11, 2019
Court Allows Wells Fargo Stockbroker to Contact Former But Not Current Clients
September 10, 2019
FINRA AWC Cites Prospective Customer, Possible Investor, and Proposal
September 4, 2019
FINRA Arbitrators Order Stockbroker to Disgorge Future Bonuses to Ameriprise
August 30, 2019
FINRA Fines and Suspends Rep for Unauthorized Transfer of 270 Customers' Info
July 16, 2019
The Inmate Stockbroker with 51 Disclosures on BrokerCheck
June 18, 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
Another Day. Another FINRA Regulatory Settlement. Another Case Involving Who Owns the Customer
May 31, 2019
Many Rivers to Cross But Stockbroker Just Can't Find His Way Over FINRA
April 26, 2019
Was Felon A Frequent Flyer or Flight Risk?
April 22, 2019
FINRA Notice To Members 19-10 Should Have Said What It Meant
April 8, 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
FINRA Finds (AGAIN!) That Ameriprise Stockbroker Altered and Concealed Evidence in Customer Arbitration
March 13, 2019
Morgan Stanley Female Rep Survives Former Advisor Program Arbitration
March 11, 2019
Pro Se Stockbroker Wins FINRA Expungement of Merrill Lynch Settled Customer Complaint
March 6, 2019
FINRA Arbitrators Award Ameriprise Promissory Note Damages But With Odd Statement About What Was Not Considered
March 5, 2019
Stockbroker Only One Call Away From FINRA Fine and Suspension
March 1, 2019
Lord Voldemort, Bank of America, Merrill Lynch, FINRA, And Childcare Expenses
February 13, 2019
Merrill Lynch Stockbroker Crashes And Burns Over Class B Shares Limits
February 11, 2019
Expungement Ten Years in the Making For Merrill Lynch Stockbroker
January 22, 2019
Oppenheimer TKO'd by Stunning Stockbroker Offset in FINRA EFL Arbitration
January 9, 2019
Ir-Rationale FINRA Merrill Lynch EFL Arbitration Decision Cited by Tax Court
December 31, 2018
Morgan Stanley and Wells Fargo Tackled for Big Loss in $7.7 million FINRA Arbitration
December 28, 2018
Pro Se Public Customer Walks Out Of FINRA Arbitration Hearing Room
December 17, 2018
The Wife, The Husband Stockbroker, The Divorce, The Wife's Complaint, and a FINRA Expungement Arbitration
December 5, 2018
Ameriprise Wins Epic Battle With Advisor Who Pled Guilty In Criminal Case
October 31, 2018
Ameritas Stockbroker Wins Snowball In Hell Expungement
October 22, 2018
Customer Seeks $2 Million In Puerto Rico Bond Arbitration
October 12, 2018
GUEST BLOG: The Invisibly Vulnerable Pre-Retirees by Aegis Frumento
October 11, 2018
10 Years After, World Is Changed For Ameriprise Stockbroker In FINRA Expungement
October 9, 2018
The Stockbroker, His Wife, 3 Customers, 3 Healthcare Proxies, 1 Trust, and 1 IRA
October 5, 2018
Merrill Lynch Rep Wins Expungement of Decade Old Customer Complaint
October 2, 2018
GUEST BLOG: All You Need Is A TCR and a Dream by Aegis Frumento Esq
September 27, 2018
11th Circuit Rejects Mandatory FINRA Arbitration By Customers
September 25, 2018
FINRA Arbitrator Tells Customers Suing Citigroup That It's Too Late Baby
September 20, 2018
GUEST BLOG: How the SEC Would Run (and Ruin) Your Firm by Aegis Frumento Esq
September 13, 2018
RBC Stockbroker Wins Expungement of ARS Complaints
September 12, 2018
Ya Hear The One About The Stockbroker Who Listened to Idiots and Never Got His Record Expunged?
August 27, 2018
Disparaging a FINRA Disparagement Arbitration
August 21, 2018
GUEST BLOG: A Trillion Reasons By Aegis J. Frumento, Esq.
August 16, 2018
Where There's A Will, FINRA Says No Way!
August 9, 2018
FINRA Arbitrators Award Commission to Associated Person For Raising Capital for Customer
July 26, 2018
Stockbrokers Victimized by Customer Imposter and FINRA Fees and Charges
July 10, 2018
Customer and Brokerage Firm Agree: I Wuz Robbed!
July 1, 2018
BREAKING NEWS: USA v. AT&T Merger Opinion ONLINE
June 12, 2018
Ameriprise Rep Barred for Unauthorized Mutual Fund Trades
May 30, 2018
Money For Nothing Leaves Stockbroker in Dire Straits With FINRA
May 9, 2018
You Hear The One About The FINRA Arbitration Involving The Stockbroker With 36 BrokerCheck Disclosures?
April 26, 2018
Former Ameriprise Rep Wins Split Decision In FINRA Arbitration
April 25, 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
Setting the Record Straight by Bill Singer, Esq.
April 9, 2018
Body and Estate and Soul and a Counterfeiter and a Murderer and Merrill Lynch
March 28, 2018
Merrill Lynch Employee and AllianceBernstein Work It Out In Unfair Competition Dispute
March 16, 2018
Rankles Raised In FINRA Expungement
February 8, 2018
Ameriprise and Former Rep Battle It Out Over EFL and Defamation
February 1, 2018
FINRA Arbitrators See No UBS, Citigroup, or Merrill Customers And Dismiss Case
January 23, 2018
A Hard Rainmaker Gonna Fall At FINRA
January 12, 2018
Rep Emails Self 1,300 Account Numbers And FINRA Comes A Knockin'
January 9, 2018
Who Owns The Customer? Open Letter to FINRA Board from Bill Singer Esq
January 8, 2018
FINRA Horse With No Name Named
January 2, 2018
U Can't Touch This PERFECT FINRA Suitability Arbitration Decision
December 15, 2017
The Damnatio Memoriae of Former SEC Counsel Rory Flynn
December 11, 2017
Widow Lacks Standing In FINRA Arbitration Involving Husband's IRA
December 8, 2017
Feds Halt Seinfeld Bottle Deposit Scam
December 6, 2017
Stockbrokers Succession Plan Grapples With Mine, Ours, and Yours
December 5, 2017
Clever Stipulation In FINRA Expungement Arbitration
November 17, 2017
Delayed Resignation,Twitter,and Email Get Stockbroker Fined and Suspended
October 26, 2017
Brokerage Customer Says That What Looks Like A Complaint Wasn't So Intended
October 19, 2017
Rep Defends Herself Against Ameriprise EFL Arbitration
October 18, 2017
FINRA Settlement Muddies Wall Street's Regulatory Waters
October 13, 2017
Fixer Upper Biz Puts Stockbroker In Need of Career Renovation
October 9, 2017
BREAKING NEWS: SEC Loses Dramatic CLO Case Against Tilton and Zohar
September 27, 2017
TD Ameritrade Acquires Scottrade Subject To Outdated NASD Rules
September 21, 2017
Veteran Sues USAA Investment Mgmt Over Alleged Mental Disability
September 7, 2017
A Stockbroker, Her LLC, And Her Customers' Loans (Or Investment?)
August 17, 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
2Cir Affirms Icahn Victory In Options Disgorgement Case
August 4, 2017
Rep Wins Expungement of 11 Year Old Complaint At Defunct Brokerage Firm
June 29, 2017
FINRA's Foolish Inconsistency
June 9, 2017
SEC Issues Historic Stay of ALJ Initial Decisions
May 24, 2017
ALJ Weighs Dilemma of Sanctions Versus Punishment For Transfer Agent
May 3, 2017
Stockbroker Expunges Complaint About Profitable Investment
May 1, 2017
Merrill Lynch Employee Flies First Class After Mystery Man Misuses Corporate Card
April 21, 2017
FINRA Fines And Suspends Merrill Rep For Altering Client Documents
April 12, 2017
FINRA Settles With Merrill Lynch Rep Who Tried To Sell Customer Information
April 11, 2017
Broker Wins Expungement of Deceased Customer's 13-Year-Old Complaint
April 3, 2017
Bill Singer Analyzes FINRA Expungement Rules 2080 and 2081
March 27, 2017
The Dead Customer, Her Son, Trading Losses, and Stockbroker's Expungement
March 3, 2017
FINRA Sanctions Emailing of Private Consumer Info
March 2, 2017
Google Subpoena Withdrawn in Brummer v. Wey Defamation Case
February 7, 2017
Subpoena Served on Google in Brummer v. Wey Defamation Case
January 31, 2017
FINRA NAC Member Brummer Files Amended Defamation Complaint
January 19, 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
SEC Opts For Intercircuit Nonacquiescence
January 9, 2017
In Face Of Split Circuits, SEC ALJ Rules Because We Say So
January 6, 2017
Federal Judge Says What She Means In ARS Case
November 30, 2016
Merrill Lynch Defamation Ruins Stockbroker Career
November 9, 2016
Dementia At Issue In Wells Fargo Arbitration
November 2, 2016
Wage Garnishments Are FINRA Smoke Signals
November 1, 2016
FINRA Cites Unfair ACAT Charge And Slow Transmittal of Funds
October 19, 2016
Merrill Lynch KO'd In $1.6 Million Note Arbitration
October 18, 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
PNC and Wells Fargo Stockbroker Wins Customer Complaints Expungement
September 19, 2016
GUEST BLOG: Who Is A Customer For Purposes of FINRA Arbitration Rule 12200 by Martin P. Unger Esq
September 16, 2016
The Stockbroker, Her Cancer Patient Friend and Customer, And The Estate Complaint
August 10, 2016
The Stockbroker, The Barred Customer, And The Sister-In-Law's Company
August 2, 2016
Ex-Wife, Deceased Father, Executrix Daughter, Retirement Account, and Annuity
July 19, 2016
Secret Customer Settlement Gets Stockbroker Fined and Suspended
July 13, 2016
Rep Says Merrill Lynch Failed to Enroll Him In Deferred Comp Plan
June 7, 2016
Ameriprise Stockbroker Altered and Concealed Evidence in Consumer Arbitration
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
Female Completed Continuing Ed for Male Supervisor
May 9, 2016
Janney Montogmery Scott Loses Promissory Note Arbitration
April 29, 2016
Customers Sue Ameriprise Over African Mining Stock In Their IRAs
March 31, 2016
A Stockbroker, His Former Customer, A Restaurant, And The New Face of Wall Street Regulation
March 30, 2016
Brummer Versus Wey Defamation Case Moves Forward, Sort Of
March 16, 2016
Curious Case Of A Wall Street Wrongful Resignation Lawsuit
March 14, 2016
SEC Cites Stockbroker Over Confidentiality of Inherited Accounts
March 2, 2016
Stockbroker Fined and Suspended for Impersonating Mother, Wife, and Cousin
February 22, 2016
Federal Appeals Court Says Mandatory FINRA Arbitration Isn't Necessarily So
January 29, 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
The Merrill Lynch Stockbroker, the Deceased Mom, Her Son, And Transfer On Death
December 14, 2015
That Customer Complaint May Not Be A FINRA Reportable Event
December 4, 2015
FINRA Complains About CCO Complaint Reporting
October 29, 2015
Hit And Run Wall Street Regulation Immunized In Goble and North American Appeal
October 23, 2015
Things Get Waaaay Worse for Wey UPDATE
September 11, 2015
UPDATE 2: Law Professor FINRA NAC Member Files Defamation Complaint
August 12, 2015
FINRA Bars Top Producer For Charging Commissions Instead Of Fees
August 3, 2015
Law Professor FINRA NAC Member Files Defamation Complaint
June 29, 2015
Undisclosed Customer Complaints Cited In FINRA Arbitration
June 24, 2015
Failed Email Review Offers Example Of Hidden Compliance Costs
June 5, 2015
Stockbroker Fined and Suspended For Sending Customer Data To New Firm
May 18, 2015
Bank of America Shows That Wall Street Regulation Stinks From The Head Down
May 6, 2015
Merrill Lynch Blindsided By Former Employee In Promissory Note Case
March 20, 2015
SEC Operation Shell Expel Drains Reverse Merger Cesspool
March 2, 2015
Unreasonable AML Policies Cited In Trading Platform Fraud
January 29, 2015
Supreme Court Reverses TILA Rescission Denial In Countrywide
January 13, 2015
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Customers
McDuff
Self Directed
PAQ
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Social Media
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Honorarium
Whitman
Relevant Disciplinary History
Consent Order
Ride the Thunder
Employment Agreement
VIX
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Rule 3030
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Internet
Rule 3310
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5Cir
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17a-5
Check
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Willfull
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