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Topic List for Sd (127 results)
Federal Court Denies Kim TRO and Injunction Against FINRA Enforcement Action
October 10, 2023
UPDATE: Bill Singer, Esq. Files Form TCR with SEC Seeking Investigation of FINRA Election Interference
August 29, 2023
A Lawyer Wearing Two Hats Raises the Ire of the SEC in Motion to Compel Production of Documents
July 27, 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
FINRA Pulls Its Punches In Felony Non-Disclosure Settlement
May 22, 2023
FINRA Sued in the Wrong Place At the Wrong Time Affirms Federal Circuit Court
December 21, 2022
Deferred Compensation Case Meanders to FINRA Arbitration to Federal Court to State Court to Dumpster
October 19, 2022
Former Wells Fargo Advisors Senior Vice President Moves Federal Court to Undo 2017 FINRA Settlement
July 27, 2022
Boustead Securities Survives Motion to Dismiss in Success Fee Dispute
July 13, 2022
GUEST BLOG [In]Securities: Man in the Mirror: The SEC Looks into the Mirror Protocol by Aegis Frumento Esq
June 17, 2022
The Nightmare of a Dream Job on Wall Street
June 7, 2022
GUEST BLOG; Still Fighting the Wall Street Bullies by Stephen Kohn
April 19, 2022
The 90 Year Old Customer, The Trust Account, Merrill Lynch, the Asset Sale, and the Margin Trade
April 7, 2022
FINRA Sued in the Wrong Place At the Wrong Time
April 5, 2022
FINRA Arbitration Claimant Asks Federal Court to Appoint Counsel
March 29, 2022
Three-Handed Dilemma Grabs NYAG, NYPPEX, Laurence Allen, and FINRA
March 1, 2022
Federal Court Puts A Fork In Schottenstein FINRA Arbitration and Says It's Done
February 25, 2022
FINRA Says It Had No Part In Deciding Schwab Customer Arbitration -- Seriously?
December 27, 2021
The Prolonged Saga of In re Goldman Sachs Group, Inc.
December 9, 2021
Federal Court Says Signed, Sealed, Delivered, Oooh Baby, It's Arbitration
August 26, 2021
The Unsecured Convertible Note, The FINRA CMA, The Pro Se Plaintiff, The Federal Complaint, and the Legal Clinic
August 17, 2021
To Err Is Human. To Fine And Suspend Is FINRA
August 12, 2021
Chase Investment Services Says Former Employee Raised Inadmissible Settlement Communication
July 8, 2021
Angry Variable Annuity Customer Vexatiously Pursues His Legal Rights
July 6, 2021
Who's Zooming Whom in FINRA Arbitration and Federal Court?
June 29, 2021
2Cir Affirms FINRA Arbitrators Award to Jefferies of $1 Million Liquidated Damages For Aborted Employment
June 7, 2021
In Pandemic Times An SEC Investment Advisers Act Fraud Complaint Survives a Motion to Dismiss
May 14, 2021
Federal Court Cites Confusion Of Ray Jay's Many Raymond Jameses
May 5, 2021
Schottenstein Family Affair Yields About $20 Million FINRA Arbitration Award
February 9, 2021
Wells Fargo Collects Underpants and Makes Profit But Can't Prove Phase 2 Arbitration Agreement
January 14, 2021
It's A Schottenstein Family Affair In FINRA Arbitration
December 21, 2020
A History of SOES, Daytrading, NASD, NASDAQ, DOJ, SEC, Congress, and Robinhood -- and a Massachusetts Complaint and Another FINRA Fine
December 17, 2020
Federal Court Dismisses Challenge to Six Year Old FINRA AWC
November 11, 2020
The Saad Saga Returns to Federal Court
November 9, 2020
California Court of Appeal Holds Its Ground After Rehearing Tilkey v. Allstate
October 28, 2020
Ballad of a FINRA Man
October 15, 2020
Federal Court Confirms Merrill Lynch's Counterclaim Victory In Puerto Rico Bond Arbitration
October 6, 2020
Federal Court Affirms Federal Jurisdiction in FINRA Arbitration Appeal
September 17, 2020
A History of SOES, Daytrading, NASD, NASDAQ, DOJ, SEC, Congress, and Robinhood
September 1, 2020
SDNY Says You're Gonna Have To Serve Somebody (And Email Ain't Gonna Cut it)
August 11, 2020
JPMorgan Chase Bank Wins SDNY Remand to Arbitration of Cashier's Checks Escheat Case
August 4, 2020
Hancock Whitney Investment Consultant Stung with Non-Solicit TRO
July 6, 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
Legend-ary Retirement Plan Embroils Cetera and First Allied in Federal Lawsuit
May 26, 2020
[In]Securities Guest Blog: Marconi Plays the Mamba by Aegis Frumento Esq
May 7, 2020
Federal Court Cites Confusion of Ray Jay's Many Raymond Jameses
May 4, 2020
FINRA Baseball Caps, Rice Krispies Treats, Hiring Spree, and ZOOM OTRs
May 1, 2020
Damages Awarded in Form U5 Defamation Case Against Allstate
April 28, 2020
[In]Securities Guest Blog: Driving That ESOP Trolley by Aegis Frumento Esq
January 23, 2020
FINRA Arbitrators Cite Untimely RICO Claims By Former Merrill Lynch Executive
January 13, 2020
Dismissed FINRA Arbitration Against JP Morgan Involves Horrific Backstory
January 10, 2020
UPDATE: Court Confirms UBS Promissory Notes Arbitration Citing Delays And Doctor's Note
January 6, 2020
What If A Much of a Which of a Wind Gives the Truth to a FINRA Arbitration Lie?
November 26, 2019
Claimant's Attorney In ER, Claimant's Wife Gives Birth, but FINRA Arbitrators Won't Postpone Hearing
October 29, 2019
The SEC Empire Strikes Back After Reinjuring Its Groin On Planet Daspin
October 18, 2019
Federal Courts Affirm Forgiveness of Barclays Promissory Notes Repayment
September 23, 2019
A Brief Essentially Devoid of Any Legal Analysis or Citations
September 18, 2019
[In]Securities GUEST BLOG: Not the One You Need by Aegis Frumento Esq
September 12, 2019
Rocky Enters Texas Ring Over Fee-For-Advice Dispute
September 3, 2019
Federal Court Grapples With Compliance Officer's Whistleblowing to FINRA
August 14, 2019
Pro Se Public Customer and Pro Se Stockbroker Did It Their Way In FINRA Arbitration
June 21, 2019
UPDATE: Banker's Affair With Customer's Husband Lands Safra In FINRA Arbitration
April 29, 2019
Banker's Affair With Customer's Husband Lands Safra in FINRA Arbitration
April 12, 2019
Sexism on Wall Street: New Chapter, Same Book
February 8, 2019
Scottsdale Sues Rep For Contacting FINRA But FINRA Bars Him For Not Testifying Against Firm
December 26, 2018
FINRA Bars Analyst For Biting Off More Than She Could Chew
November 13, 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
FINRA Arbitrators Award Commission to Associated Person For Raising Capital for Customer
July 26, 2018
The Deceased Father, Claimant Mother, Daughter, Son In Law Stockbroker, and a Kickboxing Investment
June 26, 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
The Disqualified Stalking Felon Stockbroker, The Texting Stockbroker, The Missouri Waltz, and FINRA
May 17, 2018
Federal Courts Wrestle With Opening Doors To US Courthouse to KOSPI Class Action
April 2, 2018
FINRA Humiliated In Federal Court Arbitration Appeal
March 26, 2018
Wells Fargo Unpaid Overtime Class Action Gets Second Circuit Nod for AAA Arbitration
March 9, 2018
Daspin Death Star Battles SEC and Lone ALJ Jedi Knight Grimes
February 22, 2018
Customer Appeals Wells Fargo Arbitration Loss To Federal Court
February 21, 2018
FINRA Arbitrators See No UBS, Citigroup, or Merrill Customers And Dismiss Case
January 23, 2018
Arbitrators OK Raymond James Liquidation of JTWROS Account for Broker Husband's Loan
December 21, 2017
Second Circuit Reinstates BATS HFT Class Action
December 20, 2017
California Denies Expungement of NASD and Ohio Regulatory Disclosures
November 13, 2017
Oil Industry Website Hacker Sentenced To Prison
October 10, 2017
SEC Rejects Stockbroker Appeal of 2006 NASD Bar
October 5, 2017
Child Endangerment Defendant Barred By FINRA
September 28, 2017
TD Ameritrade Acquires Scottrade Subject To Outdated NASD Rules
September 21, 2017
The Merry-Go-Round of FINRA Reform. This Time It Won't Be Any Different Again
September 6, 2017
Turning Right Is Wrong At FINRA Red Light
August 30, 2017
Newman and Salman Come Into Play With Conradt Appeal
August 23, 2017
Federal Prosecutors Throw In Towel Against Benjamin Wey
August 9, 2017
Bond Trader Barred by FINRA Wins Arbitration For Unpaid Wages
July 26, 2017
FINRA Disciplinary Settlement Raises Relevancy of Any
July 10, 2017
BREAKING NEWS: FINRA Wins Round One of Scottsdale 144 Case
June 21, 2017
Benjamin Wey Wins Suppression Order In Securities Fraud Criminal Case
June 19, 2017
Bill Singer Submits Rare FINRA Comment
June 1, 2017
$9 Million Diamond Fraud Detailed in Unsealed Criminal Complaint
April 5, 2017
SEC Files Dramatic Layering Case
March 10, 2017
NASD Charges Member For Pursuing Research Biz. Or Was That FINRA?
February 9, 2017
Tax Liens and Wall Street Disqualification
January 12, 2017
UPDATE: Scottsdale Sues FINRA In Edgy Effort To Halt Disciplinary Case
December 27, 2016
SEC Shuts Down RIA Cherry Picking
December 21, 2016
UPDATE: Hacking (Not Fracking) Gives Oil Industry Website Developer Gas Pains
December 20, 2016
SEC Amicus Brief Raises Uncomfortable Questions About SRO Immunity
December 1, 2016
The Gilligan's Island Iliad Odyssey of a FINRA Customer Arbitration
August 30, 2016
BREAKING NEWS: 2nd Circuit Delivers Blow to Tilton Appeal
June 2, 2016
Columbia Business School Professor Gets Prison For investor Fraud
May 18, 2016
BREAKING NEWS: Bank of America Hit In Lurid Gender Pay Bias Lawsuit
May 17, 2016
FINRA Wins Scottsdale Capital Advisors Motion to Dismiss
May 9, 2016
Hacking (Not Fracking) Gives Oil Industry Website Developer Gas Pains
April 4, 2016
Scottsdale Sues FINRA In Edgy Effort To Halt Disciplinary Case
March 28, 2016
SEC Cites Stockbroker Over Confidentiality of Inherited Accounts
March 2, 2016
The Houston Terrorist and The Order On Ineptitude
February 9, 2016
Federal Appeals Court Says Mandatory FINRA Arbitration Isn't Necessarily So
January 29, 2016
UPDATE: The Oxford Graduate Who Hadn't, Sent the Check That Didn't Arrive, For the Investment That Wasn't
January 21, 2016
UPDATE: Bank Employee Charged With Illegal Access Of 730,000 Accounts
December 24, 2015
SEC Fails to Destroy Daspin Death Star Over Cloud City of Bespin
December 18, 2015
FINRA Jurisdiction Over Insurance Agent Activity Challenged In SEC Appeal
December 9, 2015
Stockbroker Pleads To Misdemeanor But Fails To Disclose Felony Charge
September 17, 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
FULL TEXT Espinoza v. Dimon London Whale Shareholder Derivative Suit
June 17, 2015
Former Stockbroker Sues FINRA Over Online Disclosure of 18 Year Old Settlement
February 19, 2015
Lawsuit Says FINRA Guilty of Deliberate, Retaliatory,and Malicious Conduct
February 2, 2015
The Butcher, Baker, Candlestick Maker and Wall Street CPA
January 22, 2015
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