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Topic List for Q (166 results)
FINRA Refuses To Publish Board Election Vote Tallies -- Three Months of Regulatory Hypocrisy
December 4, 2023
Quantum Physics and FINRA's Inability to Tally the Votes of Its Board Elections
November 2, 2023
Lackluster FINRA Board Mishandled 2023 Election and Refuses to Disclose Vote Tally
September 18, 2023
2023 FINRA Election Boycott: Awaiting the Tally
September 6, 2023
UPDATE: Bill Singer, Esq. Files Form TCR with SEC Seeking Investigation of FINRA Election Interference
August 29, 2023
FINRA Has Some 'Splaining To Do As Arbitrators Deny Gender Discrimination Claims
July 24, 2023
Grandchildren Should Have Bought Decoder Ring to Decipher FINRA Arbitration Award
July 17, 2023
Branch Manager and FINRA Fail to See Red Flags of Unsuitability Involving Senior Customers
June 6, 2023
FINRA Pulls Its Punches In Felony Non-Disclosure Settlement
May 22, 2023
GUEST BLOG: [In]Securities: No Silver Linings for Silver Edge: How Not to Sell Pre-IPO Funds by Aegis Frumento Esq
March 10, 2023
TD Ameritrade Loses FINRA Customer Arbitration Citing Inaccurate Statements and Forced Liquidation
November 9, 2022
Beating a Dead Statutorily Disqualified Horse on Wall Street
October 17, 2022
SEC Hides Disqualification Waiver Order In High Profile Recordkeeping Release
September 28, 2022
Equity And Justice Prevail In Breathtaking FINRA Expungement Award
August 1, 2022
Boustead Securities Survives Motion to Dismiss in Success Fee Dispute
July 13, 2022
FINRA Arbitrators Hit Citigroup With $1.4 Million Damages For Discrimination, Harassment, and Retaliation
June 28, 2022
Motion to Vacate FINRA Arbitration Award Fails To Raise Federal Jurisdiction
March 22, 2022
FINRA and SEC Continue Dakota / Zipper Ping Pong Game of Dubious Regulation
March 18, 2022
Three-Handed Dilemma Grabs NYAG, NYPPEX, Laurence Allen, and FINRA
March 1, 2022
FINRA Fines and Suspends Rep Over Undisclosed Elderly Widow's Will Bequest
January 24, 2022
How Many FINRA Enforcement Lawyers Does It Take To Prosecute a Default Case?
January 10, 2022
The Ex-Wife, the Ex-Husband Stockbroker, the Two FINRA Arbitrations, the Stale Case, the Default Case, and the Appeal
November 17, 2021
Equitable Inadvertence Earns Inequitable FINRA Sanctions
October 25, 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
FINRA NAC Affirms OHO But Eliminates Heightened Supervision
October 4, 2021
FINRA Fines and Suspends Rep Over False Attestations Involving an Elderly Widow's Beneficiary Designation
September 1, 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
Morgan Stanley Raises Serious Questions in Failed TRO Against Former Employee
August 11, 2021
At FINRA, Boys Will Be Boys But Girls Should Act Like Proper Ladies
August 4, 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
2Cir Affirms FINRA Arbitrators Award to Jefferies of $1 Million Liquidated Damages For Aborted Employment
June 7, 2021
Federal Court Rejects TRO Against Brokerage Firm and RIA
May 10, 2021
The Elderly Customer, The Will, The Stockbroker, The Complaining Brother, And The Post-Mortem Wires and Checks
May 3, 2021
Desperately Seeking FINRA Arbitration On Remand From Federal Court
April 15, 2021
GUEST BLOG [In]Securities: The Impossible Dream by Aegis Frumento Esq
March 26, 2021
11 Cir Sees No Breach of Contract by Ohio National in Variable Annuity Commissions Lawsuit
March 22, 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
FINRA Needs Some Fresh Air For A 20 Month Suspension
February 3, 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
A History of SOES, Daytrading, NASD, NASDAQ, DOJ, SEC, Congress, and Robinhood -- and a Massachusetts Complaint and Another FINRA Fine
December 17, 2020
DC Circuit Court Sustains SEC Orders Against Thaddeus North
October 27, 2020
Rep Sentenced to 90 Months in Federal Prison On 21 Counts
October 19, 2020
FINRA Fines and Suspends Merrill Lynch Rep Over Apartment Rentals
October 14, 2020
FINRA Imposes Fine and Suspension Over Deceased Second Cousin Once Removed
September 11, 2020
A History of SOES, Daytrading, NASD, NASDAQ, DOJ, SEC, Congress, and Robinhood
September 1, 2020
[In]Securities Guest Blog: The Royal Scam by Aegis Frumento Esq
August 6, 2020
[In]Securities Guest Blog: When You Don't Know What It Is by Aegis Frumento Esq
July 23, 2020
Bridgewater Over Troubled FINRA Waters
July 15, 2020
[In]Securities Guest Blog: Good, Bad and Ugly by Aegis Frumento Esq
July 9, 2020
FINRA Settles Untimely Disclosure of Four Felony Charges Without Willfulness Finding
July 1, 2020
Gregory Acosta Hands FINRA an Earth Shattering, Precedent Setting, Historic, Stunning Defeat
June 24, 2020
Marilyn Booker v. Morgan Stanley & Co., LLC, James Gorman, and Barry Krouk: FULL TEXT COMPLAINT
June 17, 2020
Troubling Disconnect and Lack of Appropriate Explanation Found in Scapegoat Defamatory Form U5 FINRA Arbitration
June 1, 2020
[In]Securities Guest Blog: Marconi Plays the Mamba by Aegis Frumento Esq
May 7, 2020
SEC Announces Two Whistleblower Awards But One Is A Redacted Puzzle
April 21, 2020
Registered Rep Goes Down for the Count -- All 21 of Them
April 1, 2020
Bill Singer's Annual Warning: Disclose Your Tax Liens
March 4, 2020
FINRA Settles Case Involving What Looks Like A Felony But Isn't
January 17, 2020
FINRA Needs To Better Coordinate Its Admonition of Statutory Disqualification
January 3, 2020
FINRA Sanctions Stockbrokering Paper Pushing Lawyer
December 27, 2019
[In]Securities Guest Blog: Not Dead Again Today? by Aegis Frumento Esq
December 19, 2019
FINRA Addresses Light Bulb and Coffee Cake Abuses
November 15, 2019
Supreme Court to Decide Whether Disgorgement is Penalty or Equitable Relief
November 4, 2019
The Illogical Logic of FINRA's Willful Non-Disclosure of Tax Liens
October 11, 2019
Federal Courts Affirm Forgiveness of Barclays Promissory Notes Repayment
September 23, 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
Former LPL Stockbroker Suspended and Fined For Customer Borrowing
July 9, 2019
5 OBAs, 2 PSTs, $15,000 Fine and 10 Month Suspension in 1 FINRA AWC
May 10, 2019
FINRA Settlement Not Fussing And Fighting But Working It Out
March 25, 2019
GUEST BLOG: To Hold and Have Not by Aegis Frumento Esq
February 14, 2019
Sexism on Wall Street: New Chapter, Same Book
February 8, 2019
The Errors on the Whited-Out Variable Annuity Form and FINRA's Fine and Suspension of a Supervisor
February 6, 2019
Financial Elder Abuse Claims Against Morgan Stanley Die A Tortured Death
January 30, 2019
Innocent Stockbroker Lost in Never-Neverland Wins FINRA Expungement
January 28, 2019
GUEST BLOG: Who Run the World? by Aegis Frumento Esq
January 24, 2019
Federal Court Considers SEC Subpoena of Outside Consultant Records
December 27, 2018
Two Deceased Customers,Their Stockbroker, A POA, A TOD Account, And a Bar
December 3, 2018
Son Calls FINRA Senior Helpline About Trading In Mom's Account
November 27, 2018
Stockbroker Wins Expungements of Decade Old Customer Complaints
November 20, 2018
Stockbroker Told to Provide Personal Email Account Password to Employer
November 12, 2018
Morgan Stanley Customer Sues Over Forced Stop Loss
October 10, 2018
Last Dance? SEC Hopes It Has Finally Zipped Zipper Appeals
October 3, 2018
BrokeAndBroker.com Bllog by Bill Singer Esq WEEK IN REVIEW
September 29, 2018
UPDATE: 11Cir Sustains SEC and FINRA On Willful Failure to Disclose Tax Liens
September 21, 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
Where There's A Will, FINRA Says No Way!
August 9, 2018
The 93 Year Old Customer with Dementia, The Guardian, The Stockbroker, and the Compliance Officer
July 30, 2018
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
June 23, 2018
Zipper Plays Sisyphus to FINRA's Zeus
June 21, 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
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
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
Scottrade Customer Margin Case Tossed During Discovery
February 23, 2018
SEC Zaps Zipper's Second Stay Request
February 7, 2018
UBS Complex Director Wins Margin Call Battle
January 19, 2018
FINRA Dispute Hangs Out As SEC Unzips Zipper Appeal
January 16, 2018
Second Circuit Reinstates BATS HFT Class Action
December 20, 2017
Season's Greetings From FINRA. You're Fined and Suspended. Ho, ho, ho.
December 12, 2017
UPDATE: SEC Says No Mulligans For FINRA Settlements
November 29, 2017
SEC Nixes Stay of Statutory Disqualification
November 8, 2017
FINRA Schrodinger Cat Is Dead, Alive, and a Zombie
November 7, 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
What's the Frequency FINRA?
August 25, 2017
Sewage Release By Wall Street Regulators
August 24, 2017
FINRA Felony Jigsaw Puzzle
August 10, 2017
FINRA Arbitrators Okay Firing For Failure To Recognize Questionable Activity
July 17, 2017
UPDATE: SEC Denies Wanger Re-Entry Into Industry
July 12, 2017
FINRA Disciplinary Settlement Raises Relevancy of Any
July 10, 2017
Dissenting FINRA Arbitrator Cries Out for Fairness After UBS Victory
June 13, 2017
FINRA's Willy Nilly Tax Lien Settlements
May 25, 2017
Stunning $413,000 Award to Wells Fargo Employee in Broker Protocol Case
May 5, 2017
Misconduct Bricks In FINRA Wall of Statutory Disqualification
April 26, 2017
High Frequency Trading: Is Regulation the Answer?
April 19, 2017
FINRA Settles With Advisor Who Acted as POA and Health Surrogate
April 18, 2017
FINRA Fines and Suspends Rep For Customer Borrowing
April 13, 2017
The FINRA Thrum Of Stamping Settlements
April 6, 2017
Where There's Willfulness There's No Way At FINRA
March 28, 2017
It's All Going To Pot In FINRA Settlement
March 23, 2017
Inconsistent FINRA Findings of Willful Nondisclosure Persist
March 13, 2017
Stockbrokers, Spouses, Marriage, and Away Accounts
January 26, 2017
Tax Liens and Wall Street Disqualification
January 12, 2017
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
SEC Amicus Brief Raises Uncomfortable Questions About SRO Immunity
December 1, 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
The Chief Compliance Officer, The Taxman, And FINRA
October 24, 2016
The Gilligan's Island Iliad Odyssey of a FINRA Customer Arbitration
August 30, 2016
SEC Splits Over CPA Bars For PCAOB Audit
August 15, 2016
FINRA Says It's A Matter of Trust Or Is That Trustee?
July 29, 2016
IRS Says FINRA Schrodinger Cat Has Three Lives
June 16, 2016
SEC Crisis Response Criticized In Compelling Law Review Article
June 10, 2016
BrokerCheck Dispute Says FINRA Wrongly Says SEC Bar is Permanent
June 9, 2016
Hiding In Plain Site: Undisclosed Criminal Past Was Undetected
March 10, 2016
Borrowing From Customer, Tax Liens, Settling Away,Social Media, And More!
February 26, 2016
Stockbroker Fined and Suspended for Impersonating Mother, Wife, and Cousin
February 22, 2016
Brokerage Firm Censured and Fined for Undetected Statutorily Disqualified Rep
February 3, 2016
FINRA Fines And Suspends Rep For Service as Director
January 22, 2016
Virtus Gets F-Squared In SEC Settlement
November 19, 2015
FULL TEXT DOJ Individual Accountability Memo ONLINE at BrokeAndBroker.com
September 10, 2015
FULL TEXT Opinion in Barclays High Frequency Trading Case
August 27, 2015
UPDATE: Former Stockbroker Sues FINRA Over Online Disclosure of 18 Year Old Settlement
August 7, 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
FINRA Says You've Got A Friend, Fine, and Suspension
June 12, 2015
Fines and Suspensions For Brokers In Sales Quota Sham
June 8, 2015
JPMorgan Chase, Citigroup, Barclays, RBS, And UBS Seek SEC Reg D Waivers
May 21, 2015
FINRA Wrestles With Serious,Aggravating, And Egregious Filing Failures For Forms U4 and BD
May 14, 2015
FINRA Suspends Broker Over Repaid Customer Loan
March 27, 2015
Former Lek Employee Suspended For Taking The Fifth At FINRA
March 16, 2015
Former Stockbroker Sues FINRA Over Online Disclosure of 18 Year Old Settlement
February 19, 2015
The Butcher, Baker, Candlestick Maker and Wall Street CPA
January 22, 2015
Lien-ing Tower Prompts FINRA Fine And Suspension
January 9, 2015
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