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FINRA Bars Its Arbitration Forum to TDA Customer Citing Unspecified Risks of Health And Safety
January 4, 2024
UPDATE: Federal Court Confirms Multi-Million Dollar FINRA Arbitration Award for Charles Schwab Against Morgan Stanley
November 6, 2023
Will Schwab Sink or Swim with ThinkOrSwim?
October 30, 2023
SEC Chief Accountant Lays a Cobblestone on the Road to Hell Paved with Good Intentions
July 28, 2023
Federal Circuit Court Says Price Isn't Right In UBS Whistleblower Retaliation
June 7, 2023
The Fair But Unsatisfactory FINRA Arbitration Hearing
May 8, 2023
The Six-Year FINRA and SEC Regulatory Saga of Craig Scott Capital
April 26, 2023
Time to Call False Start Penalty Against SEC Reg ATS Rulemaking
April 19, 2023
FINRA Arbitration Award Gives Us A Case of Gas From Chipotle Bean Burrito Puts
April 3, 2023
GUEST BLOG: [In]Securities: DOJ Rides a Horse with No Name: Rule 10b5-1 Plans Cannot be Fraudulently Misused
March 3, 2023
4Cir Remands SEC's Case To District Court For Some Old Fashioned Jury Muddling
February 27, 2023
We Got A Version. We Got A Sample. We Got A 17 Year Old Margin Capability Dispute Against E*TRADE
January 12, 2023
Federal Court Says Customer Had Duty To Notify Schwab of Malfunctioning Order System
January 4, 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
Federal Court Denies Reconsideration of FINRA Referral Letter Cited In Federal Insider Trading Appeal
December 19, 2022
TD Ameritrade Loses FINRA Customer Arbitration Citing Inaccurate Statements and Forced Liquidation
November 9, 2022
FINRA Cites RBC Capital Market's Supervisory Review, Personnel Turnover, and Outdated Tech
November 1, 2022
TD Ameritrade Customer Loses Incorrect Address FINRA Arbitration
October 24, 2022
Beating a Dead Statutorily Disqualified Horse on Wall Street
October 17, 2022
The Disappearing Act of Elder Abuse in a TD Ameritrade FINRA Arbitration
October 6, 2022
FINRA Arbitration Panel Finds TD Ameritrade Grossly Negligent With Form U5
August 15, 2022
GUEST BLOG: [In]Securities: Lip Service: The SEC, Reg S-ID, and the Majestic Equality of Regulation by Aegis Frumento Esq
August 5, 2022
GUEST BLOG [In]Securities: Jive Talkin': The SEC Busts a Braggin' Broker by Aegis Frumento Esq
June 24, 2022
TradeZero, Meme Stocks, and High Dudgeon From the SEC
May 26, 2022
Who Opened What Type of Account Becomes a Dilemma in E*Trade Federal Court Motion
April 25, 2022
Unhappy Customers Pull Out All the GameStops In FINRA Arbitration Win Against Charles Schwab
April 12, 2022
For a Second Time, Federal Court Says Price Isn't Right In UBS Whistleblower Retaliation
April 11, 2022
FINRA Referral Letter Cited In Federal Insider Trading Appeal
March 30, 2022
Angry E*TRADE Customer Can't Find 750 Shares of Tesla
March 11, 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
Sound of Silence From A FINRA Arbitration That Says Nothing About Anything Despite Awarding $650,000
November 22, 2021
FINRA Takes Victory Lapse in Aegis Capital Regulatory Settlement
November 10, 2021
There's Something Happening Here (at a FINRA Arbitration ) But What It Is Ain't Exactly Clear
November 8, 2021
No Margin For Error With Options Expiration
November 1, 2021
Stipulated Arbitration Award Ends TD Ameritrade Solicitation Dispute
October 28, 2021
GUEST BLOG [In]Securities: Everybody Knows by Aegis Frumento Esq
July 23, 2021
FINRA Sanctions Rep and Sanctuary Securities Over NT-ETFs
July 7, 2021
FINRA Censures and Fines Citigroup Global Markets Inc. for Failed Supervisory System
June 17, 2021
The TD Ameritrade Stockbroker and The Customer Were Friends Until Options Trading Came Between Them
June 8, 2021
Now You See It, Now You Don't -- FINRA Rule 2010 Applied by OHO But Rejected by NAC
June 3, 2021
Three FINRA AWCs and One Mess of an Arbitration Raise Unanswered Questions About Supervision
June 1, 2021
First Trades, First Dollars, and the NYSE Celebrates Moments
April 13, 2021
Schwab Sued Over Allegedly Malfunctioning Order System
March 23, 2021
The Grandfather FINRA OBA Paradox
March 15, 2021
As Time Goes By At FINRA And TradeStation
March 4, 2021
A Modern Tale of Cybercriminals, Fake ID, and a FINRA Arbitration
January 25, 2021
Did You Hear The One About The Customer Who Sued Because He Didn't Know Insider Trading Was Illegal?
January 5, 2021
Moving the Goal Line In a FINRA Expungement Arbitration
December 30, 2020
A History of SOES, Daytrading, NASD, NASDAQ, DOJ, SEC, Congress, and Robinhood -- and a Massachusetts Complaint and Another FINRA Fine
December 17, 2020
Customer's Annuities Lawsuit Backfires During FINRA Arbitration
December 4, 2020
FINRA Gives Rep the Business Over Personal Expenses
November 17, 2020
A History of SOES, Daytrading, NASD, NASDAQ, DOJ, SEC, Congress, and Robinhood
September 1, 2020
Edward Jones Wins TRO Against Former Employee in Solicitation and Trade Secrets Case
August 24, 2020
Federal Court Says SEC Complaint Sufficiently Alleges Dealer Status
August 21, 2020
[In]Securities Guest Blog: When You Don't Know What It Is by Aegis Frumento Esq
July 23, 2020
$25,000 E*Trade Pattern Day Trading Minimum Deposit Requirement Challenged in Federal Lawsuit Against FINRA
July 2, 2020
[In]Securities Guest Blog: Gambling Man by Aegis Frumento Esq
June 19, 2020
[In]Securities Guest Blog: The End of the Line by Aegis Frumento Esq
May 28, 2020
UPDATE: Federal Court Orders Rare TRO In Favor Of Terminated Rep Against Investacorp
May 15, 2020
Customer Sues TD Ameritrade For Failure to Investigate Fraudulent Debit Card Transactions
May 8, 2020
Federal Court Orders Rare TRO In Favor of Terminated Rep Against Investacorp
May 5, 2020
Texas Court of Appeals Reverses $3 Million TD Ameritrade Customer Victory
April 15, 2020
Familiar Names Resurface In SEC Unauthorized Trading Scheme
April 8, 2020
C'mon And Take A Free Ride. FINRA Arbitration Considers Failed Customer Payment
February 17, 2020
In Today's Securities Industry Commentator
January 21, 2020
[In]Securities Guest Blog: Lawyers, Guns and Money by Aegis Frumento Esq
December 12, 2019
Oral Contract Propels Lynx Capital Into Trading Black Hole
October 28, 2019
Featured in Today's Securities Industry Commentator by Bill Singer Esq
October 23, 2019
[In]Securities Guest Blog: Money for Nothing by Aegis Frumento
October 10, 2019
FINRA Bars Rep Who Knew Someone
September 27, 2019
FINRA's JPM Omelet Ends With Egg On the Regulator's Face
September 17, 2019
Old CUSIP. New CUSIP. And a Customer Sues TD Ameritrade
September 11, 2019
Oops I Did It Again Is No Defense In Second FINRA AWC
September 9, 2019
Wide Open Arbitration Slam Dunks for Two FINRA Firms. One Scores. One Clangs
August 15, 2019
Trading After Death
July 24, 2019
GUEST BLOG: Standing on the Moon by Aegis Frumento Esq
July 18, 2019
Customer's Wife Rescues Former Edward Jones Broker In Expungement Case
July 10, 2019
Former Morgan Stanley Branch Manager Wins Expungement of Failure to Supervise Claims
May 15, 2019
866 Trades in 15 Leveraged ETFs for 47 Customers Ends With 1 Bar
May 14, 2019
GUEST BLOG: Weird Apple Pickings by Aegis Frumento Esq
February 28, 2019
Scottsdale Sues Rep For Contacting FINRA But FINRA Bars Him For Not Testifying Against Firm
December 26, 2018
E*Trade Loses Shocking FINRA Margin Call Arbitration
December 19, 2018
Competitively Different Cambridge Loses Culturally Unique FINRA Block Trade Arbitration
November 19, 2018
E*Trade Best Execution Case Reaches Federal Appeals Court
October 30, 2018
Double Standard? FINRA Fines and Suspends Wells Fargo Employee For 382 Unauthorized Trades
September 28, 2018
Disparaging a FINRA Disparagement Arbitration
August 21, 2018
The 93 Year Old Customer with Dementia, The Guardian, The Stockbroker, and the Compliance Officer
July 30, 2018
Somebody's Got To Pay And FINRA Arbitrator Says It's Scottrade
June 29, 2018
FINRA Settles UIT and Instant Messaging Case
May 31, 2018
FINRA Orders Partial Restitution in Activity Letter Settlement
May 8, 2018
Oppenheimer and Euro Pacific Duke It Out In $35 Million Unfair Competition Arbitration
April 11, 2018
2 Wrongs Don't Add Up To 1 Right In FINRA Regulatory Settlement
March 22, 2018
Scottrade Customer Margin Case Tossed During Discovery
February 23, 2018
FINRA Stuffs Stifel's Trading Ahead Exemptions
February 2, 2018
Second Circuit Reinstates BATS HFT Class Action
December 20, 2017
FINRA Plays Hide And Seek With Six Years Of Unauthorized Sales And Withdrawals
November 22, 2017
Fidelity Sues Financial Consultant Over Secrets and Unfair Competition
October 11, 2017
TD Ameritrade Acquires Scottrade Subject To Outdated NASD Rules
September 21, 2017
RIA Cherry Picking Case Rings Alarm (Anyone Listening?)
September 15, 2017
UPDATE: Merrill Lynch FINOP Cited By SEC for Unprecedented Violations
September 1, 2017
Split 2nd Circuit Affirms Martoma Conviction
August 23, 2017
Newman and Salman Come Into Play With Conradt Appeal
August 23, 2017
Opening Pandora's Box of Puts
August 4, 2017
SEC Settlement Cites Trading Ahead of Research
June 27, 2017
Edward Jones Loses Trade Secrets Arbitration
May 10, 2017
FINRA Hoisted With Its Own BrokerCheck Petard
May 9, 2017
FBI Files Cite Nuclear Reactor In Home Freezer
April 27, 2017
SEC ALJ Initial Decision Dismisses Insider Trading Case
April 19, 2017
High Frequency Trading: Is Regulation the Answer?
April 19, 2017
Warp Speed Dismissal in Lightspeed Trading Arbitration
March 24, 2017
Stifel Gives It Away In SEC Settlement
March 15, 2017
FINRA Cites Pennystock Sales By Feltl Rep While Customers Buying
March 10, 2017
The Dead Customer, Her Son, Trading Losses, and Stockbroker's Expungement
March 3, 2017
FINRA, Wells Fargo, and the Victimized 93 Year Old Investor
February 28, 2017
Merrill Lynch FINOP Cited By SEC for Unprecedented Violations
February 15, 2017
Guilty Plea In FOREX Price Fixing Case
January 13, 2017
FOREX Markets Hit By New Indictments
January 11, 2017
FINRA Arbitrators Slam Wedbush In Pay Dispute
January 10, 2017
BREAKING STORY: FULL TEXT DOJ Indictment and SEC Complaint In Law Firm Email Hacking Insider Trading Cases
December 27, 2016
SEC Shuts Down RIA Cherry Picking
December 21, 2016
SEC Charges Adviser Stockbroker With Wheel Turnin' Round And Round Fraud
December 16, 2016
Standby Letter of Credit Walks Away From Duped Investors
December 15, 2016
Supreme Court Rules on USA v. Salman Insider Trading Case
December 6, 2016
Stockbroker Goes Aground on FINRA Day Trading Endeavor Bar
December 2, 2016
SEC Amicus Brief Raises Uncomfortable Questions About SRO Immunity
December 1, 2016
Whatcha See is Whatcha Get In FINRA Settlement
November 16, 2016
Godzilla, Frankenstein, tradeMONSTER and Not So Obvious Error
November 10, 2016
Trade Error Haunts Stockbroker
November 8, 2016
Wall Street Regulation Understood Backwards
October 7, 2016
SEC Settles Wrap Fee Cases With Robert W. Baird and Raymond James
September 8, 2016
FINRA Mixed Message About Inflating Sales And Trades
June 20, 2016
SEC Crisis Response Criticized In Compelling Law Review Article
June 10, 2016
Dirty Deeds Done Dirt Cheap On Wall Street
June 2, 2016
UBS Reversed $5 Million Unauthorized Order
June 1, 2016
BREAKING STORY: FULL TEXT SEC Complaint and DOJ Indictment and Information in Dean Foods Insider Trading Case
May 19, 2016
How Can I Be Sure In A FINRA World That's Constantly Changing?
May 2, 2016
SEC Files Complaints Alleging Pump And Dump Scheme Involving Shell Company
April 27, 2016
E*Trade Employee Wins Form U5 Expungement
April 14, 2016
Stockbroker Fined and Suspended for Impersonating Mother, Wife, and Cousin
February 22, 2016
FULL TEXT Barclays and Credit Suisse SEC Dark Pools Settlement
February 2, 2016
SEC Settles Prop Trading Spoofing Case
October 12, 2015
Bond Trader Barred For Using Can't Lose Strategy
October 2, 2015
Insider Trading Case Collapses Over Personal Benefit Proof
September 15, 2015
FULL TEXT Opinion in Barclays High Frequency Trading Case
August 27, 2015
FINRA Jams Ditto Copying of Trades
August 17, 2015
UPDATE: Klaatu Barada New York Stock Exchange. 9 Year Old Saves NYSE SEE VIDEOS
July 8, 2015
Prop Trader Takes FINRA To The Mat And Wins
July 8, 2015
Third Party Wires Clothesline Scottrade In FINRA Settlement
July 1, 2015
UPDATE: SEC Derails Scam Train On Trading Platform
June 15, 2015
SEC Derails Scam Train On Trading Platform
April 13, 2015
A Tale Of Two Wall Streets And FINRA's Disparate Sanctions
February 11, 2015
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