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It's All Over Now: My 42-year Wall Street Journey by Bill Singer, Esq.
January 30, 2024
UPDATE: The SEC's Netflix/Reed Hastings Policy and @GaryGensler and @SECGov and the SIM Swap Hack
January 23, 2024
SEC's X Account Compromised Via Phone Number and Lack of Two-Factor Authentication
January 10, 2024
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
Securities Industry Commentator by Bill Singer Esq
December 26, 2023
SEC Sustains in Part and Remands FINRA Case Against Southeast Investments and President Black
December 8, 2023
Securities Industry Commentator by Bill Singer Esq
December 8, 2023
Oral Argument at SCOTUS on SEC v. Jarkesy (Listen to Audio File / Read Transcript)
November 28, 2023
The Regulatory Hypocrisy of the SEC's New Clearing Agency Governance and Conflicts Rules
November 16, 2023
BrokeAndBroker.com Blog by Bill Singer Esq
November 10, 2023
UPDATE: Federal Court Confirms Multi-Million Dollar FINRA Arbitration Award for Charles Schwab Against Morgan Stanley
November 6, 2023
UPDATE: Scrambling to Keep Pace With The SEC Unbearable Load of Rulemaking
October 17, 2023
Federal Court Denies Kim TRO and Injunction Against FINRA Enforcement Action
October 10, 2023
FINRA Gives the Finger(print) to the SEC and FBI
October 2, 2023
Wall Street Regulators Provide Express Check-Out Line for Goldman Sachs
September 26, 2023
Kabuki Theater at the Senate Banking Committee Starring SEC Chair Gensler
September 13, 2023
Latest Round of Wall Street Regulatory Idiocy: Zipper/Dakota v. FINRA Arrives at Point of Insanity
August 21, 2023
SEC Dismisses Attempt to Do Something About a FINRA AWC
August 14, 2023
FINRA Can't Quite Put a Name On It: Perjury or False Testimony or Misleading Testimony
July 31, 2023
SEC Chief Accountant Lays a Cobblestone on the Road to Hell Paved with Good Intentions
July 28, 2023
A Lawyer Wearing Two Hats Raises the Ire of the SEC in Motion to Compel Production of Documents
July 27, 2023
Grandchildren Should Have Bought Decoder Ring to Decipher FINRA Arbitration Award
July 17, 2023
Lord Voldemort on Wall Street: When DOJ, SEC and FINRA Will Not Name Names
July 10, 2023
Securities Industry Commentator WEEK IN REVIEW by Bill Singer Esq
July 8, 2023
SEC Sends FINRA Expungement Back to the Future
June 12, 2023
FINRA Took Wells Fargo Stockbroker Outback to a Bar and SEC Says It's The Last Round
June 1, 2023
SEC Orders FINRA to Raise Its Arbitration Forum Gate For Expungements
May 30, 2023
SEC Says No Second Bite of FINRA Expungement Apple
May 9, 2023
Securities Industry Commentator by Bill Singer Esq
May 5, 2023
The Six-Year FINRA and SEC Regulatory Saga of Craig Scott Capital
April 26, 2023
FINRA Bars former Securities America Rep For Conversion
April 21, 2023
Time to Call False Start Penalty Against SEC Reg ATS Rulemaking
April 19, 2023
2Cir Remands to EDNY Disparate Sentence in Boiler Room Pumping
April 17, 2023
After Thanking Very Helpful Whistleblower, SEC Then Stabs The Tipster In The Back
April 12, 2023
Pro Se Registered Respondent A No Show At Arbitration Involving Cambridge Capital Group
April 10, 2023
GUEST BLOG: [In]Securities: The Influencers: The SEC Grounds Stars' TRX by Aegis Frumento Esq
March 31, 2023
GUEST BLOG: [In]Securities: Wanting to Break Free: The Delaware Chancery Court Strikes Down Cantor Fitzgerald's Non-Compete Clauses by Aegis Frumento Esq
March 24, 2023
SEC Tells FINRA to Raise the Gate For Ineligible Expungement Case
March 23, 2023
A Form of Lunacy Has Overtaken the SEC
March 16, 2023
FINRA's Travesty of a Transamerica Settlement
March 13, 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
GUEST BLOG: [In]Securities: DOJ Rides a Horse with No Name: Rule 10b5-1 Plans Cannot be Fraudulently Misused
March 3, 2023
SEC No Longer Believable When It Comes To Whistleblower Award Denials
March 2, 2023
Welcome to the BrokeAndBroker.com Blog and the Securities Industry Commentator Feed
March 1, 2023
4Cir Remands SEC's Case To District Court For Some Old Fashioned Jury Muddling
February 27, 2023
SEC Press Release Fails To Disclose that OCC Settled Charges Without Admitting or Denying Findings
February 17, 2023
FINRA Arbitrator Denies Indemnification Citing Firm's Failure to Supervise
February 6, 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
FINRA Sued in the Wrong Place At the Wrong Time Affirms Federal Circuit Court
December 21, 2022
Federal Court Denies Reconsideration of FINRA Referral Letter Cited In Federal Insider Trading Appeal
December 19, 2022
Intellivest Securities Hunts Down Raiders Who Allegedly Gutted The Brokerage Firm
December 12, 2022
Time to Overhaul SEC Whistleblower Program
December 5, 2022
Brokerage Firm Sues Former Stockbroker for Indemnity After Paying Customer Settlement
November 17, 2022
FINRA Arbitrators Slam Losing Respondents with Hearing Fees in Breach of Contract Dispute
November 10, 2022
The Gensler SEC's Rulemaking Reach Exceeds Its Grasp
November 7, 2022
The Cyberfraud Prevention Fraud, The Impeded Whistleblowing, and The Dissenting SEC Commissioner
November 4, 2022
A Lack of Finality: The Trevor Saliba Saga at FINRA and the SEC and Again at FINRA
October 10, 2022
SEC Four-Year Strategic Plan Is Generic, Non-Specific, Drivel
September 30, 2022
SEC Hides Disqualification Waiver Order In High Profile Recordkeeping Release
September 28, 2022
Whistleblower Angered by SEC's Split of $27 Million Award
September 27, 2022
Securities Industry Commentator by Bill Singer Esq
September 26, 2022
SEC Buries the Lede About Stunning Misconduct in Its Office of the Ombudsman
September 19, 2022
GUEST BLOG: [In]Securities: Trading Cards as a Meditation: Are NTFs Securities? by Aegis Frumento Esq
September 9, 2022
A Lack of Finality: The Trevor Saliba Saga at FINRA and the SEC
September 6, 2022
Unsettling Settlement Puts FINRA's Board of Governors in Troubling Light
August 29, 2022
GUEST BLOG: [In]Securities: Puff!: The SEC Slays DRGN by Aegis Frumento Esq
August 26, 2022
GUEST BLOG: [In]Securities: A Hard Rain's A-Gonna Fall: A Whistleblower Retaliation Case Washes Out by Aegis Frumento Esq
August 19, 2022
Federal Court Denies Legend Securities President Bankruptcy Discharge of FINRA Customer Arbitration Award
August 10, 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
Absurd SEC Staff Bulletin Warns Industry To Adjust To Known Variables And Be Flexible
August 4, 2022
GUEST BLOG: [In]Securities: They're All Here: The Three Circles of Securities Fraud Hell by Aegis Frumento Esq
July 22, 2022
Love the One You Whiff: A Federal Case Involving Two Sets of Golf Clubs and a Winged Foot Membership
July 20, 2022
FINRA Arbitration Combines Circular Logic With a Nested Loop and a Mobius Strip in Wage Dispute
July 18, 2022
GUEST BLOG: [In]Securities: Watching You: The SEC Walks the Beat by Aegis Frumento Esq
July 15, 2022
Boustead Securities Survives Motion to Dismiss in Success Fee Dispute
July 13, 2022
GUEST BLOG [In]Securities: Lyin' Eyes: Securities Fraud or Just Plain Fraud? by Aegis Frumento Esq
July 8, 2022
GUEST BLOG [In]Securities: Highwaymen: The SEC Pulls Off a Brinks Heist by Aegis Frumento Esq
July 1, 2022
GUEST BLOG [In]Securities: Jive Talkin': The SEC Busts a Braggin' Broker by Aegis Frumento Esq
June 24, 2022
Suspension of Disbelief: The Louis Ottimo FINRA to SEC Back to FINRA Back to SEC Regulatory Saga
June 23, 2022
JP Morgan Securities Sued for Over $10 Million in Team Dissolution FINRA Arbitration
June 22, 2022
122 Days And Counting For FINRA's Independent Review Of Its Arbitration Selection Process
June 20, 2022
GUEST BLOG [In]Securities: Man in the Mirror: The SEC Looks into the Mirror Protocol by Aegis Frumento Esq
June 17, 2022
Guest Blog: Now You See It, Now You Don't by "Regulated or Aggrieved"
June 15, 2022
Securities Industry Commentator by Bill Singer Esq
June 13, 2022
GUEST BLOG [In]Securities: Buck Nekkid: The SEC on Full Frontal Disclosure by Aegis Frumento Esq
June 10, 2022
J.P. Morgan Securities Demolished In FINRA Non-Solicitation Arbitration
June 6, 2022
Let's Go to the Video: SEC Gamifies Wall Street Regulation During Pandemic And Economic Crisis
June 2, 2022
TradeZero, Meme Stocks, and High Dudgeon From the SEC
May 26, 2022
94 Days And Counting For FINRA's Independent Review Of Its Arbitration Selection Process
May 23, 2022
5Cir Issues Historic Rebuke of SEC ALJ System
May 19, 2022
FINRA Torches Small Brokerage Firm Over Due Diligence Procedures
May 10, 2022
The Curious Case of Donald Howard
May 2, 2022
After the SEC's PAUSE, We're Left Wondering Why
April 27, 2022
SEC Slaps Generic, Non-Specific Whitewash Over Database Scandal
April 6, 2022
FINRA Sued in the Wrong Place At the Wrong Time
April 5, 2022
FINRA Referral Letter Cited In Federal Insider Trading Appeal
March 30, 2022
Arousing the Wrath of the Great and Powerful SEC and FINRA
March 28, 2022
Wells Fargo Promissory Note Case Enters Its Second Decade of Litigation
March 23, 2022
FINRA and SEC Continue Dakota / Zipper Ping Pong Game of Dubious Regulation
March 18, 2022
Federal Court Puts A Fork In Schottenstein FINRA Arbitration and Says It's Done
February 25, 2022
Cynical FINRA Press Release Lacks Urgency in Response to Arbitration Fiasco
February 22, 2022
SEC Director Calls Awkward Football Audible During Wall Street Gamification Bowl
February 14, 2022
Securities Industry Commentator by Bill Singer Esq
February 10, 2022
Native American Tribe Investment Portfolio Proves Costly for Purshe Kaplan & Sterling Investments
February 2, 2022
Good Vibrations Shoes: 4 Phase Randomized Program Along with a Lithium Rechargeable Power Source
January 14, 2022
Securities Industry Commentator by Bill Singer, Esq
January 6, 2022
FINRA Says It Had No Part In Deciding Schwab Customer Arbitration -- Seriously?
December 27, 2021
The Collision of the Inept With The Incompetent -- A Wall Street Compliance and Regulatory Tale
December 22, 2021
FINRA Arbitrator Won't Rewrite Indemnification Clause
December 20, 2021
Wall Street's Double Standard In All Its Despicable Glory: CFTC and SEC Settle with JPM
December 17, 2021
DreamFunded Dream Faded At FINRA And SEC Declines to Stay Expulsions and Bars
November 15, 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 NAC Affirms OHO But Eliminates Heightened Supervision
October 4, 2021
Did SEC Permanently Bar Twice The Same Frivolous Whistleblower Claimant?
September 29, 2021
A Thought Piece on Risk from SEC Commissioner Caroline A. Crenshaw
September 28, 2021
SEC Permanently Bars Frivolous Claimant from Whistleblower Program
September 15, 2021
GUEST BLOG [In]Securities: To Grand Central Station by Aegis Frumento Esq
September 11, 2021
4 questions for Wall Street fraud expert Bill Singer with Host Julie Coleman, Financial Planning
September 9, 2021
The SEC Is Asked to Go Back To The Future to Rewrite History
September 2, 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
DBS Throws Director Under the FINRA Regulatory Bus
August 24, 2021
The Unsecured Convertible Note, The FINRA CMA, The Pro Se Plaintiff, The Federal Complaint, and the Legal Clinic
August 17, 2021
Securities Industry Commentator by Bill Singer Esq
August 6, 2021
FINRA's Restricted Firm Rule: Two SEC Commissioners Toast the Sinking of the Titanic
August 2, 2021
GUEST BLOG [In]Securities: Everybody Knows by Aegis Frumento Esq
July 23, 2021
GUEST BLOG [In]Securities: Tell Me Lies by Aegis Frumento Esq
July 9, 2021
FINRA Sanctions Rep and Sanctuary Securities Over NT-ETFs
July 7, 2021
Federal Court Puts the Confidential Back Into Confidential Settlement Agreement
July 2, 2021
The SEC Says Sponsored Research Didn't Disclose It Was Paid For
July 1, 2021
Neovest Dissent Pushed Into The SEC Shadows
June 30, 2021
Who's Zooming Whom in FINRA Arbitration and Federal Court?
June 29, 2021
SEC Sanctions Guggenheim Securities For Anti-Whistleblower Confidentiality Agreement
June 28, 2021
GUEST BLOG [In]Securities: Bird on a Wire by Aegis Frumento Esq
June 18, 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
Native American Tribe's Investment Portfolio Proves Costly for Purshe Kaplan & Sterling Investments
June 9, 2021
GUEST BLOG [In]Securities: Oh No by Aegis Frumento Esq
May 21, 2021
FINRA Publishes Helpful Notice About Online Account Takeover (ATO)
May 17, 2021
In Pandemic Times An SEC Investment Advisers Act Fraud Complaint Survives a Motion to Dismiss
May 14, 2021
GUEST BLOG [In]Securities: Mind Games by Aegis Frumento Esq
May 7, 2021
Federal Court Cites Confusion Of Ray Jay's Many Raymond Jameses
May 5, 2021
Structuring of Eight Bank Deposits Earns FINRA Suspension
April 30, 2021
Insult Added to Injury in Puerto Rico Bond Dispute
April 16, 2021
Desperately Seeking FINRA Arbitration On Remand From Federal Court
April 15, 2021
Federal Circuit Court Says Head Scratchin' Act Not Proof of Securities Fraud Scienter
April 12, 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
Securities Industry Commentator by Bill Singer
March 16, 2021
GUEST BLOG [In]Securities: Singin' the Varsity Blues, Part 3: Walkin' That Lonesome Valley by Aegis Frumento Esq
March 12, 2021
FINRA Suffers Stunning Rebuke by SEC in Tysk Appeal
March 8, 2021
The Saga of FINRA Versus Kimberly Springsteen-Abbott
March 1, 2021
Securities Industry Commentator by Bill Singer Esq
February 24, 2021
Rowing on the SEC's Whistleblower River of Denial
February 23, 2021
GUEST BLOG [In]Securities: Instant Karma By Aegis Frumento Esq
February 19, 2021
SEC Cites League of Extraordinary Advisers In Denying Waiver of Bar
February 17, 2021
FINRA Fines and Suspends CCO / AMLCO For Structuring
February 15, 2021
NEWSFLASH: FINRA Observes Bad Actors In the Markets
February 11, 2021
Schottenstein Family Affair Yields About $20 Million FINRA Arbitration Award
February 9, 2021
Federal Court Grants Summary Judgment in Racial Discrimination Case Involving FINRA BrokerCheck
February 8, 2021
GUEST BLOG [In]Securities: Soon May the Tendieman Come By Aegis Frumento Esq
February 5, 2021
The 2021 Edition of the Prime Bank Note Scam
February 1, 2021
A Modern Tale of Cybercriminals, Fake ID, and a FINRA Arbitration
January 25, 2021
GUEST BLOG [In]Securities: A Worried Song By Aegis Frumento Esq
January 22, 2021
Securities Industry Commentator by Bill Singer Esq
January 13, 2021
GUEST BLOG [In]Securities: No-Hopers, Jokers and Rogues By Aegis Frumento Esq
January 8, 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
GUEST BLOG [In]Securities: Ringing Out for Christmas Day By Aegis Frumento Esq
December 24, 2020
It's A Schottenstein Family Affair In FINRA Arbitration
December 21, 2020
Federal Court Says Former Morgan Stanley Advisor's Discrimination Claims Are Time Barred
December 18, 2020
A History of SOES, Daytrading, NASD, NASDAQ, DOJ, SEC, Congress, and Robinhood -- and a Massachusetts Complaint and Another FINRA Fine
December 17, 2020
SEC Commissioner Peirce Sounds the Due Process Alarm In Response To FINRA Rule Amendment
December 15, 2020
GUEST BLOG [In]Securities: Sometimes, a Man of Peace By Aegis Frumento Esq
December 11, 2020
Misdirection Leaves COR Clearing Without Insurance Reimbursement
December 9, 2020
Outrageous Romance Scam Earns Even More Outrageous Sentence
December 8, 2020
A Stroll Down Wall Street's Fetid Memory Lane of Disparate Regulation
November 27, 2020
GUEST BLOG [In]Securities: Missing a Crowded Table By Aegis Frumento Esq
November 25, 2020
Management of Native American Tribe's Investment Portfolio Prompts FINRA Bar
November 24, 2020
Frail, Ineffective OCIE Statement About Complex Financial Products
November 23, 2020
GUEST BLOG [In]Securities: Eggs from the Golden Goose By Aegis Frumento Esq
November 20, 2020
Two SEC Commissioners Dissent From the Shadows
November 16, 2020
Identities of SEC Whistleblower and Respondent Bank Outed
November 12, 2020
The Saad Saga Returns to Federal Court
November 9, 2020
[In]Securities Guest Blog: Singing An American Tune By Aegis Frumento Esq
November 6, 2020
Securities Industry Commentator by Bill Singer Esq
November 3, 2020
Permanent Bar Proves Less Than Permanent As SEC Approves Return to Industry
October 29, 2020
DC Circuit Court Sustains SEC Orders Against Thaddeus North
October 27, 2020
[In]Securities Guest Blog: A Different Kind of Truth By Aegis Frumento Esq
October 23, 2020
FINRA Fines Small Firm And its Owner For Misclassification of Expenses
October 21, 2020
Rep Sentenced to 90 Months in Federal Prison On 21 Counts
October 19, 2020
FINRA's Board Unimaginatively Responds to Existential Crisis By Raising Fees
October 16, 2020
[In]Securities Guest Blog: Don't Know Much by Aegis Frumento Esq
October 9, 2020
Pro Se Customer Alleges Unsuitability of Self Directed Put Sales
October 5, 2020
Love In the Time of Covid Expires for SEC
October 2, 2020
Securities Industry Commentator by Bill Singer Esq
October 1, 2020
Securities Industry Commentator by Bill Singer Esq
September 30, 2020
Securities Industry Commentator by Bill Singer Esq
September 29, 2020
Securities Industry Commentator by Bill Singer Esq
September 28, 2020
[In]Securities Guest Blog: tZero/No Limit by Aegis Frumento Esq
September 25, 2020
SEC Reforms Its Whistleblower Program
September 24, 2020
Securities Industry Commentator by Bill Singer Esq
September 21, 2020
Securities Industry Commentator by Bill Singer Esq
September 18, 2020
Securities Industry Commentator by Bill Singer Esq
September 14, 2020
FINRA Imposes Fine and Suspension Over Deceased Second Cousin Once Removed
September 11, 2020
Securities Industry Commentator by Bill Singer
September 4, 2020
A History of SOES, Daytrading, NASD, NASDAQ, DOJ, SEC, Congress, and Robinhood
September 1, 2020
Securities Industry Commentator by Bill Singer Esq
August 31, 2020
SEC Evaluates Possibility of Granting Relief During Catastrophic Hurricane Laura
August 27, 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
Six Years And Counting and the SEC Is Still Dicken-ing Around
August 20, 2020
Securities Industry Commentator by Bill Singer Esq
August 14, 2020
[In]Securities Guest Blog: Take it Easy by Aegis Frumento Esq
August 13, 2020
UPDATE: FINRA Says Brokerage Fee An Undisclosed Commission
August 12, 2020
The Securities Industry Commentator by Bill Singer Esq
August 7, 2020
[In]Securities Guest Blog: The Royal Scam by Aegis Frumento Esq
August 6, 2020
[In]Securities Guest Blog: Out of Touch, Out of Luck by Aegis Frumento Esq
July 30, 2020
SEC Remands Feitelberg Bar to FINRA Citing Respondent's Serious Illness
July 28, 2020
[In]Securities Guest Blog: When You Don't Know What It Is by Aegis Frumento Esq
July 23, 2020
The Futility of Futility On Display in FINRA Expungement Dispute
July 17, 2020
[In]Securities Guest Blog: Click Boom by Aegis Frumento Esq
July 16, 2020
9Cir Tames Sharemaster After Epic Battles With FINRA and SEC
July 10, 2020
[In]Securities Guest Blog: Good, Bad and Ugly by Aegis Frumento Esq
July 9, 2020
Securities Industry Commentator by Bill Singer Esq
July 7, 2020
[In]Securities Guest Blog: Freedom Flashing by Aegis Frumento Esq
July 3, 2020
[In]Securities Guest Blog: Manicula's Gopher by Aegis Frumento Esq
June 25, 2020
Gregory Acosta Hands FINRA an Earth Shattering, Precedent Setting, Historic, Stunning Defeat
June 24, 2020
Supreme Court Says Disgorgement Not Exceeding Wrongful Net Profits Is Permissible Relief
June 23, 2020
[In]Securities Guest Blog: Gambling Man by Aegis Frumento Esq
June 19, 2020
Wells Fargo Promissory Note Case Enters Its Eighth Year of Litigation
June 15, 2020
Securities Industry Commentator by Bill Singer Esq at BrokeAndBroker.com
June 12, 2020
[In]Securities Guest Blog: School's Out for Summer by Aegis Frumento Esq
June 11, 2020
[In]Securities Guest Blog: As Hollow as it Seems by Aegis Frumento Esq
June 4, 2020
[In]Securities Guest Blog: The End of the Line by Aegis Frumento Esq
May 28, 2020
[In]Securities Guest Blog: Dear Prudence by Aegis Frumento Esq
May 21, 2020
Commissioner Peirce Sounds the Alarm About Feeding the SEC's CAT
May 18, 2020
[In]Securities Guest Blog: Troubled Water Over the Bridge by Aegis Frumento Esq
May 14, 2020
Securities Industry Commentator by Bill Singer Esq
May 12, 2020
Securities Industry Commentator by Bill Singer
May 11, 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
[In]Securities Guest Blog: Get What You Need by Aegis Frumento Esq
April 30, 2020
[In]Securities Guest Blog: Life's for the Living by Aegis Frumento Esq
April 23, 2020
SEC Announces Two Whistleblower Awards But One Is A Redacted Puzzle
April 21, 2020
[In]Securities Guest Blog: Small Worlds by Aegis Frumento Esq
April 16, 2020
Texas Court of Appeals Reverses $3 Million TD Ameritrade Customer Victory
April 15, 2020
Securities Industry Commentator by Bill Singer Esq
April 14, 2020
[In]Securities Guest Blog: Hello In There by Aegis Frumento Esq
April 9, 2020
Familiar Names Resurface In SEC Unauthorized Trading Scheme
April 8, 2020
No Membership Port In A Regulatory Storm For Newport Coast Securities
April 7, 2020
Securities Industry Commentator by Bill Singer Esq
April 6, 2020
[In]Securities Guest Blog: Breathless by Aegis Frumento Esq
April 2, 2020
Registered Rep Goes Down for the Count -- All 21 of Them
April 1, 2020
Securities Industry Commentator by Bill Singer, Esq
March 27, 2020
[In]Securities Guest Blog: In Dreams by Aegis Frumento Esq
March 26, 2020
[In]Securities Guest Blog: Who's Zoomin' Who by Aegis Frumento Esq
March 19, 2020
Citizens Securities Wins TRO in Non-Solicitation Federal Court Action
March 16, 2020
[In]Securities Guest Blog: Not Going Back to My Old School by Aegis Frumento Esq
March 12, 2020
[In]Securities Guest Blog: The Fever by Aegis Frumento Esq
March 5, 2020
Securities Industry Commentator by Bill Singer Esq
February 28, 2020
[In]Securities Guest Blog: Blinded by the Light by Aegis Frumento Esq
February 27, 2020
Wells Fargo Settles Criminal and Civil Sales Practices Cases
February 24, 2020
Securities Industry Commentator by Bill Singer Esq
February 21, 2020
[In]Securities Guest Blog: Something Built to Last by Aegis Frumento Esq
February 20, 2020
Cannabis Science Case Smokes Definition of Brokerage Customer
February 19, 2020
Securities Industry Commentator by Bill Singer
February 14, 2020
Securities Industry Commentator by Bill Singer
February 12, 2020
The Saga of FINRA Versus Kimberly Springsteen-Abbott
February 10, 2020
[In]Securities Guest Blog: Rolled Up and Smoked by Aegis Frumento Esq
January 30, 2020
SEC Denies Stay of FINRA Expulsion Over Annual Audit Report
January 28, 2020
[In]Securities Guest Blog: Driving That ESOP Trolley by Aegis Frumento Esq
January 23, 2020
In Today's Securities Industry Commentator
January 21, 2020
[In]Securities Guest Blog: Drunk on a Plane by Aegis Frumento Esq
January 16, 2020
In Today's Securities Industry Commentator
January 15, 2020
[In]Securities Guest Blog: Born to be Wild by Aegis Frumento Esq
January 9, 2020
[In]Securities Guest Blog: And So This Is Christmas by Aegis Frumento Esq
December 24, 2019
[In]Securities Guest Blog: Not Dead Again Today? by Aegis Frumento Esq
December 19, 2019
Featured in Today's Securities Industry Commentator
December 18, 2019
Funky Chicken Alters The Course of Wall Street Insider Trading
December 17, 2019
The Temptations of Collecting Data at the SEC
December 16, 2019
Federal Court Transmogrifies FINRA Into State Criminal Prosecutor
December 13, 2019
[In]Securities Guest Blog: Lawyers, Guns and Money by Aegis Frumento Esq
December 12, 2019
In Today's Securities Industry Commentator
December 6, 2019
[In]Securities Guest Blog: WeWork Works It Out by Aegis Frumento Esq
December 5, 2019
[In]Securities Guest Blog: Still a Wonderful World by Aegis Frumento Esq
November 27, 2019
In Today's Securities Industry Commentator
November 22, 2019
[In]Securities: Who'll Be Watching Whom? by Aegis Frumento Esq
November 21, 2019
SEC Whistleblower Program: Three Persons Deemed One Claimant and the 8/10ths of a Human Being
November 19, 2019
[In]Securities Guest Blog: What's My Name? by Aegis Frumento Esq
November 14, 2019
Featured in Today's Securities Industry Commentator
November 13, 2019
Tower Research Capital Not Such a CFTC Bad Boy After E-Mini Fraud
November 8, 2019
[In]Securities Guest Blog: Wishin' I Was Stoned by Aegis Frumento Esq
November 7, 2019
2 Pleas, 2 Federal Courts,1 Horrific Ponzi Scheme, and Lots of Lousy Wall Street Regulation
November 6, 2019
Supreme Court to Decide Whether Disgorgement is Penalty or Equitable Relief
November 4, 2019
[In]Securities Guest Blog: Everybody Knows by Aegis Frumento Esq
October 31, 2019
SEC ALJ Order Discusses Character Witnesses and Inability to Pay
October 30, 2019
[In]Securities Guest Blog: The Man in the Long Black Coat by Aegis Frumento Esq
October 24, 2019
Featured in Today's Securities Industry Commentator by Bill Singer Esq
October 23, 2019
The SEC Empire Strikes Back After Reinjuring Its Groin On Planet Daspin
October 18, 2019
[In]Securities Guest Blog: Make It So by Aegis Frumento Esq
October 17, 2019
The Wall Street Simulacrum of Regulation (Now Online and in Video Format)
October 14, 2019
[In]Securities Guest Blog: Money for Nothing by Aegis Frumento
October 10, 2019
Astounding 20 Criminal, Regulatory, and Compliance Cases Featured in Securities Industry Commentator
October 1, 2019
Former Beazer Homes Chief Accounting Officer Loses Stay of SEC Suspension
September 30, 2019
[In]Securities GUEST BLOG: Fantasy by Aegis Frumento Esq
September 26, 2019
[In]Securities GUEST BLOG: Hit the Road, Jack by Aegis Frumento Esq
September 19, 2019
FINRA's JPM Omelet Ends With Egg On the Regulator's Face
September 17, 2019
[In]Securities GUEST BLOG: Not the One You Need by Aegis Frumento Esq
September 12, 2019
[In]Securities GUEST BLOG: Walk Like a Man by Aegis Frumento, Esq
September 5, 2019
UPDATE: SEC Sustains Saad Sanction Saga
August 26, 2019
Pro Se Customer Alleges Unsuitability of Self Directed Put Sales
August 13, 2019
FINRA Conducts Retrospective Rule Review on Senior Investors
August 12, 2019
FINRA's Hearing Officers Are 70% Former FINRA and 30% Former SEC
August 2, 2019
SEC Task Force to Host Roundtable On Elder Fraud (Coffee and Danish Will Be Served, Maybe)
July 23, 2019
GUEST BLOG: Hester's Scarlet Begonias by Aegis Frumento Esq
July 11, 2019
Some BS from FINRA in Small Firm AWC
July 8, 2019
FINRA Foundation To Empower the Underserved But Batteries Not Included
June 28, 2019
GUEST BLOG: Gotta Serve Somebody by Aegis Frumento Esq
June 20, 2019
DC Circuit Sustains FINRA Rule 2030 Against GOP Challenge
June 19, 2019
SEC Acts In the Public Interest And Renders $3 Million Whistleblower Award
June 4, 2019
Fancy Colored Diamonds, Ponzi Cryptocurrency Biz, and A Whole Lot of Victims
May 21, 2019
GUEST BLOG: Acts of Code by Aegis Frumento Esq
May 2, 2019
Federal Court Remands SEC's Willfulness Findings in Robare Form ADV Case
May 1, 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
GUEST BLOG: Inversions by Aegis Frumento Esq
April 11, 2019
SEC Scheduling Order: The Nuts and Bolts of Trying Your Case
April 5, 2019
GUEST BLOG: Lorenzo's Oil Slick by Aegis Frumento Esq
April 4, 2019
GUEST BLOG: Bitwise and Fund-Foolish by Aegis Frumento Esq
March 28, 2019
BREAKING STORY: Supreme Court Affirms DC Circuit on Lorenzo v. SEC
March 27, 2019
SEC Prays for Relief in Complaint Against the Church for the Healthy Self
March 19, 2019
FINRA Finds (AGAIN!) That Ameriprise Stockbroker Altered and Concealed Evidence in Customer Arbitration
March 13, 2019
SEC Whistleblowers Blow Their Own Whistles Too Late For Awards
March 12, 2019
Wells Fargo Promissory Note Victory Goes From FINRA Sublime to SEC Ridiculous
March 4, 2019
FINRA Arbitration Costs National Securities In Promissory Note Case
February 27, 2019
The Apple of My Ire
February 18, 2019
GUEST BLOG: To Hold and Have Not by Aegis Frumento Esq
February 14, 2019
Former National Securities Corp President/CEO Sues Firm In FINRA Expungement Case
February 12, 2019
Legal, Regulatory, and Compliance Feed For Wall Street Professionals and Serious Investors
January 23, 2019
GUEST BLOG: The SEC's Gagging Rights by Aegis Frumento Esq
January 17, 2019
Hot Nepal Real Estate Market Burns Stockbroker With FINRA Fine and Suspension
January 11, 2019
GUEST BLOG: Bitcoin is Not Blockchain's Best Use Case by Aegis Frumento Esq
January 3, 2019
Federal Court Considers SEC Subpoena of Outside Consultant Records
December 27, 2018
Scottsdale Sues Rep For Contacting FINRA But FINRA Bars Him For Not Testifying Against Firm
December 26, 2018
GUEST BLOG: Blaming Nobody by Aegis Frumento Esq
December 6, 2018
Former First Republic Securities Employee Wins $1.1 Million FINRA Arbitration Award
December 4, 2018
Getting Stoned Takes On New Meaning Plus Bonus Grandparent Alert
November 21, 2018
GUEST BLOG: Pragmatic Federalism In a Blockchained World by Aegis Frumento Esq
November 15, 2018
GUEST BLOG: A Pulitzer Prize for Risk Disclosures? by Aegis J. Frumento Esq
November 8, 2018
Buyer's Remorse Over Industry Bar Prompts Epic SEC Appeal
November 7, 2018
Ameriprise Wins Epic Battle With Advisor Who Pled Guilty In Criminal Case
October 31, 2018
Live from Columbus's Fourth Ship, the Pina Colada: Bill Singer Esq Reports on Wall Street
October 8, 2018
GUEST BLOG: Beating a Hasty Retweet by Aegis Frumento Esq
October 4, 2018
Last Dance? SEC Hopes It Has Finally Zipped Zipper Appeals
October 3, 2018
Double Standard? FINRA Fines and Suspends Wells Fargo Employee For 382 Unauthorized Trades
September 28, 2018
GUEST BLOG: All You Need Is A TCR and a Dream by Aegis Frumento Esq
September 27, 2018
UPDATE: 11Cir Sustains SEC and FINRA On Willful Failure to Disclose Tax Liens
September 21, 2018
The Securities Industry Commentator, a daily Wall Street legal, regulatory, and compliance feed
September 19, 2018
SEC Severely Reduces Whistleblower Award for Unreasonable Filing Delay
September 17, 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
In Memoriam 9/11
September 11, 2018
GUEST BLOG: Twits or Tweeters by Aegis Frumento
August 30, 2018
Disparaging a FINRA Disparagement Arbitration
August 21, 2018
Chancery Court Denies TRO After Alleged Defamation to SEC and FINRA
August 20, 2018
GUEST BLOG: Securities Fraud? Or Just Bullshit? by Aegis Frumento, Esq
August 7, 2018
GUEST BLOG: That Long Strange Trip from SunTrust to Wells Fargo by Aegis Frumento Esq
August 2, 2018
The 93 Year Old Customer with Dementia, The Guardian, The Stockbroker, and the Compliance Officer
July 30, 2018
UPDATE:Non-Attorney Representatives Involved In FINRA Arbitration Blight
July 23, 2018
UPDATE: SEC Vacates PCAOB Action in Laccetti and Cancels Sanctions
July 18, 2018
SEC Seeks to Reform Its Whistleblower Process
July 3, 2018
SEC Chairman Jay Clayton: The Devil We Know Champions Main Street
June 22, 2018
BREAKING NEWS: Lucia v. SEC / Supreme Court Finds SEC ALJs Unconstitutional
June 21, 2018
Zipper Plays Sisyphus to FINRA's Zeus
June 21, 2018
A Suicide on Wall Street -- and -- The Human Factor on Wall Street
June 15, 2018
SEC ALJ Denies Disqualification of Wedbush Lawyer
June 8, 2018
2 Lies to FINRA Add Up to 1 Bar
June 4, 2018
FINRA Stretches Definition of Participating in a Private Securities Transaction
May 18, 2018
Sharemaster the Beastmaster Tames FINRA and SEC in PCAOB Dispute
May 7, 2018
FINRA Hardship Waiver Hard To Find
May 4, 2018
UPDATE: Medical Marijuana Biz Goes Up In SEC Smoke
May 1, 2018
Oppenheimer and Euro Pacific Duke It Out In $35 Million Unfair Competition Arbitration
April 11, 2018
Securities and Exchange Commission Imposters Target Public
April 5, 2018
Stormy Daniels Issue Hits FINRA Arbitration Remand
April 4, 2018
Federal Appeals Court Reverses PCAOB and SEC over Denial of Ernst & Young Expert Witness
April 3, 2018
Disturbing FINRA Settlement Involving Elderly Client With Dementia
March 13, 2018
Federal Court Sustains FINRA / SEC Over CEO Reckless Disregard of Net Cap Rule
March 12, 2018
Non-Attorney Representatives Involved In FINRA Arbitration Blight
March 1, 2018
FINRA Proposes Consolidation of Outside Business Activities and Private Securities Transactions Rules
February 28, 2018
Broker Dealer Wins Indemnification Arbitration Against Stockbroker
February 27, 2018
Daspin Death Star Battles SEC and Lone ALJ Jedi Knight Grimes
February 22, 2018
30 Months Of Violations Under FINRA's Nose
February 16, 2018
SEC Zaps Zipper's Second Stay Request
February 7, 2018
The SEC, The Federal Inmate, And The Florida Bar Advice
January 29, 2018
FINRA Dispute Hangs Out As SEC Unzips Zipper Appeal
January 16, 2018
Second Circuit Reinstates BATS HFT Class Action
December 20, 2017
The Damnatio Memoriae of Former SEC Counsel Rory Flynn
December 11, 2017
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
December 2, 2017
UPDATE: SEC Says No Mulligans For FINRA Settlements
November 29, 2017
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
November 11, 2017
SEC Nixes Stay of Statutory Disqualification
November 8, 2017
FINRA Schrodinger Cat Is Dead, Alive, and a Zombie
November 7, 2017
Federal Appeals Court Deems FINRA Deputy of the Federal Government
November 6, 2017
FINRA Tackles Insurance Claim Allowable Assets. But Is It Relevant?
November 3, 2017
SEC Saad Saga Still Slogs Still Sags
October 16, 2017
Fidelity Sues Financial Consultant Over Secrets and Unfair Competition
October 11, 2017
Fixer Upper Biz Puts Stockbroker In Need of Career Renovation
October 9, 2017
SEC Rejects Stockbroker Appeal of 2006 NASD Bar
October 5, 2017
SEC Says No Mulligans For FINRA Settlements
October 3, 2017
SEC Sustains FINRA On Willful Failure to Disclose Tax Liens
October 2, 2017
BREAKING NEWS: SEC Loses Dramatic CLO Case Against Tilton and Zohar
September 27, 2017
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
September 16, 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
SEC Case Against S&P Duka Fizzles Out
August 30, 2017
Weight Management Company Weighs Heavily on Stockbroker's Career
August 29, 2017
FINRA Calls PST Then OBA Then PST. Omaha! Omaha!! Omaha!!!
August 28, 2017
Sewage Release By Wall Street Regulators
August 24, 2017
FINRA Public Customer Arbitration Decision Becomes A Legend
August 23, 2017
Zombie Customer Complaint Will Not Die After 35 Years
August 22, 2017
Stifel Prevails In Arbitration But Former Hilltop Employees Hit With Awards
August 21, 2017
Federal Prosecutors Throw In Towel Against Benjamin Wey
August 9, 2017
2Cir Affirms Icahn Victory In Options Disgorgement Case
August 4, 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
BREAKING NEWS: Supreme Court Affirms 3 Year Limit in CalPERS v. ANZ
June 26, 2017
FINRA Buries the Lede With FAS Rep Settlement
June 26, 2017
Market Fragility and Interconnectedness
June 23, 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
UPDATE: Potentially Dubious Flexible Rescheduling Of SEC Hearing And Awry,Alaska Cruise
June 14, 2017
BREAKING NEWS: SEC Loses Supreme Court Kokesh Disgorgement Case
June 5, 2017
Bill Singer Submits Rare FINRA Comment
June 1, 2017
FBI Agent Josh and Where's Waldo? Where's OWB?
May 26, 2017
FINRA's Willy Nilly Tax Lien Settlements
May 25, 2017
SEC Issues Historic Stay of ALJ Initial Decisions
May 24, 2017
GUEST BLOG: At the SEC, One Year Equal 1,825 Days
May 22, 2017
Potentially Dubious Flexible Rescheduling of SEC Hearing
May 19, 2017
Edward Jones Loses Trade Secrets Arbitration
May 10, 2017
ALJ Weighs Dilemma of Sanctions Versus Punishment For Transfer Agent
May 3, 2017
Barclays and Traders Settle SEC RMBS Mark Up Case
May 1, 2017
SEC ALJ Initial Decision Dismisses Insider Trading Case
April 19, 2017
Casino Bets Fade Investors Retirement Savings
April 5, 2017
SEC Will Not Appeal Bartko And Posts Online Form For Reversing Collateral Bars
February 24, 2017
Sharemaster, Howard Feigenbaum and Johnny Burris Battle Wall Street's Goliaths
February 20, 2017
Sharemaster Becomes the Beastmaster of FINRA and SEC
February 17, 2017
Hidden Warning In SEC Corporate Disclosure Defaults
February 16, 2017
Merrill Lynch FINOP Cited By SEC for Unprecedented Violations
February 15, 2017
Is SEC Cherry Picking Case Nit Picking Depositions?
February 13, 2017
Medical Marijuana Biz Goes Up In SEC Smoke
February 10, 2017
Real Estate Flipper Sued For Investment Fraud
February 8, 2017
GUEST BLOG: This Way to Financial Services Reform
February 6, 2017
SEC Hit By Wave Of Petitions For Removal of Post-Bartko Collateral Bars
February 3, 2017
Promissory Notes Sales Cause FINRA Domino Effect
February 1, 2017
SEC Collateral Bars Set Aside In Dramatic Bartko Victory
January 18, 2017
SEC Fines BlackRock For Financial Disincentive Provision For Whistleblowers
January 17, 2017
SEC ALJ Says Bandimere Notwithstanding. And So It Goes. And So It Goes
January 16, 2017
Tax Liens and Wall Street Disqualification
January 12, 2017
SEC Settles 3 RIA Referral Fees Cases
January 11, 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
FINRA Rule 3280 Private Securities Transactions Analysis by Bill Singer
December 30, 2016
BREAKING NEWS: Federal Appeals Court Says Securities and Exchange Commission ALJs Unconstitutional
December 28, 2016
5 Years Later: The Politics of Wall Street Regulation Is Unabated
December 28, 2016
BREAKING STORY: FULL TEXT DOJ Indictment and SEC Complaint In Law Firm Email Hacking Insider Trading Cases
December 27, 2016
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
SEC Shuts Down RIA Cherry Picking
December 21, 2016
Pro Se Inmate Stuns SEC Division of Enforcement
December 19, 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
SEC Amicus Brief Raises Uncomfortable Questions About SRO Immunity
December 1, 2016
Federal Judge Says What She Means In ARS Case
November 30, 2016
The Most Terrible Crime a Human Being Can Commit
November 18, 2016
SEC ALJ Sings Questions 67 & 68 and 25 or 6 to 4
November 15, 2016
Death Be Not Proud Or Profitable In SEC Fraud Case
November 7, 2016
FINRA Sanctions Lack of Proactive Compliance
November 3, 2016
SEC Sends Second Valentine Message Not Filled With Love
October 28, 2016
Has Big Data Made Us Lazy? Speech By SEC Deputy Director Scott W. Bauguess
October 26, 2016
SEC ALJ Sees the Relevant in the Room
October 20, 2016
Safeguarding Retirees from Getting Cheated out of Their Social Security Payments
October 14, 2016
Defunct Broker-Dealer Loses No-Show Arbitration With Non-Lawyer
October 13, 2016
Caveat Emptor Proves True In Purchase Of Troubled Broker Dealer
October 11, 2016
NY Life Rep Crosses Arbitration Rubicon With Expungement Case
September 28, 2016
UPDATE: SEC Settlement Gives Respondent 168 Years To Pay
September 26, 2016
SEC Says Independence Compromised By Auditor And Client Friendship
September 23, 2016
Stockbroker Slips Off Plymouth Rock Movie Studio Deal
September 22, 2016
The Best Offense Is A Good Defense
September 9, 2016
SEC Settles Wrap Fee Cases With Robert W. Baird and Raymond James
September 8, 2016
SEC Begins Sexual Healing of Public Relations Sex Machine
September 8, 2016
Cyber Security for Financial Firms
September 1, 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
FINRA Settlement Enters the RIA and BD Jungle
August 23, 2016
SEC Fines Company for Financial Disincentive Provision For Whistleblowers
August 18, 2016
SEC Splits Over CPA Bars For PCAOB Audit
August 15, 2016
Wrap It Up! SEC Settles Wrap Fee Case
July 21, 2016
All Along The Wall Street Watchtower
July 14, 2016
SEC Put Writing and Swap Case Slogs To Federal Courts
July 12, 2016
Lonely Game of Masquerade As FINRA Hides Two Entire Countries
June 29, 2016
Homer Simpson, Killer Tomatoes, and SEC v. McDuff
June 27, 2016
IRS Says FINRA Schrodinger Cat Has Three Lives
June 16, 2016
Stop the Federal Bureau of Prisons Anti-Investor Tactics
June 10, 2016
BrokerCheck Dispute Says FINRA Wrongly Says SEC Bar is Permanent
June 9, 2016
Fraudster Got 300 Months In Prison But Still Frustrates the SEC
June 8, 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
BREAKING STORY: FULL TEXT SEC Complaint and DOJ Indictment and Information in Dean Foods Insider Trading Case
May 19, 2016
Columbia Business School Professor Gets Prison For investor Fraud
May 18, 2016
Pro Se Respondent Wins Appeal Of SEC ALJ Summary Disposition
May 6, 2016
Half Baked Apple REIT Case Dismissed Against David Lerner Associates
May 5, 2016
Drop Phones and Kickbacks Cited in SEC ForceField Stock Promo Complaint
May 4, 2016
Approved Outside Business Activity Morphs Into A Troubling Private Securities Transaction
April 27, 2016
UPDATE: Working The SEC System From Prison
March 24, 2016
UPDATE: Net Capital Violations Become Federal Criminal Case
March 23, 2016
Hiding In Plain Site: Undisclosed Criminal Past Was Undetected
March 10, 2016
SEC Stops Blue Mountain S-1 Registration
March 7, 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
SEC Settlement Shows Shameful State of Wall Street Research
February 18, 2016
SEC Settlement Gives Respondent 168 Years To Pay
February 17, 2016
UPDATE: SEC Inspector General Exonerates ALJ System
February 12, 2016
Texas Investor Guide: Strategies for Investing Wisely and Avoiding Financial Fraud
February 12, 2016
UPDATE: Pro Se Respondent Battles SEC to Standstill
February 10, 2016
CD War Between Securities and Exchange Commission and Federal Bureau of Prisons
February 8, 2016
FULL TEXT Barclays and Credit Suisse SEC Dark Pools Settlement
February 2, 2016
FINRA Fines And Suspends Rep For Service as Director
January 22, 2016
UPDATE: The Oxford Graduate Who Hadn't, Sent the Check That Didn't Arrive, For the Investment That Wasn't
January 21, 2016
Pro Se Respondent Battles SEC Bar To Standstill
January 20, 2016
SEC Reversed ALJ But Federal Court Reverses SEC
December 21, 2015
SEC Fails to Destroy Daspin Death Star Over Cloud City of Bespin
December 18, 2015
SEC Says Senior Citizen Fraudster Preyed On Elderly Victims
December 17, 2015
FINRA Jurisdiction Over Insurance Agent Activity Challenged In SEC Appeal
December 9, 2015
Virtus Gets F-Squared In SEC Settlement
November 19, 2015
Pennystock Kickback Scheme Gets In Last Kicks at SEC
November 13, 2015
Net Capital Violations Become Federal Criminal Case
November 12, 2015
Stockbroker Fined and Suspended Over Limited Partnerships and Notes
October 21, 2015
Sad Saad Saga Sought Second SRO / SEC Shot
October 15, 2015
A Little Biz On The Side Gets Rep Fined And Suspended
October 14, 2015
SEC Settles Prop Trading Spoofing Case
October 12, 2015
SEC Goes After Disbarred Lawyer For Investment Advisory Activity
October 9, 2015
Blackstone Rocked By SEC Over Disparate Legal Fees
October 8, 2015
Money For Nothing And The Stocks Are Free (Sort of)
October 5, 2015
SEC Rejects Appeal By Failed Buyer of FINRA Broker Dealer
October 1, 2015
Split In The Circuits Widens As Jarkesy Challenges SEC
October 1, 2015
SEC Advisory Committee Makes Historic Recommendations for Finder's Fees
September 24, 2015
Insider Trading Case Collapses Over Personal Benefit Proof
September 15, 2015
Things Get Waaaay Worse for Wey UPDATE
September 11, 2015
Undercover FBI Pennystock Sting
September 9, 2015
SEC ALJ Sent To Woodshed In Remanded Listing Revocation
August 28, 2015
SEC Denies Three Whistleblower Awards
August 26, 2015
Stockbroker Fired and Barred For Role With Privately Held Company
August 24, 2015
SEC Takes On Federal Court In Dispute Over Whistleblower Interpretation
August 14, 2015
SEC Under Siege! Dramatic Inspector General Report Shakes ALJ System
August 10, 2015
SEC ALJ Issues Breathtaking Dismissal Of Compliance Professional Case
August 6, 2015
Major Fine Slams FINRA Firm For Supervisory Violations
July 22, 2015
Over $3 Million Awarded by SEC to Whistleblower
July 17, 2015
SEC Commissioner Aguilar Says Commissioner Gallagher Wrong About Chief Compliance Officer Regulation
June 30, 2015
SEC Risk Alert Announces Retail Retirement Examinations
June 22, 2015
SEC Issues Only 21st Stop Order In Two Decades
June 17, 2015
UPDATE: SEC Derails Scam Train On Trading Platform
June 15, 2015
Nasty FINRA Lawsuit Gets Nastier
June 10, 2015
What Would Hillary Do? FINRA Cites AOL Email Account And Gold / Bank Investments
May 27, 2015
SEC Commissioner Stein Stands Alone In Her Defense Of The Investing Public And Industry
May 22, 2015
JPMorgan Chase, Citigroup, Barclays, RBS, And UBS Seek SEC Reg D Waivers
May 21, 2015
SEC ALJ Rejects Mere Witness Inconvenience
May 7, 2015
Bank of America Shows That Wall Street Regulation Stinks From The Head Down
May 6, 2015
Working The SEC System From Prison
May 1, 2015
SEC Denies Whistleblower Bounty to Claimant Seeking Five Awards
April 30, 2015
SEC Moves Quickly Against Alleged Farm Loan Ponzi
April 29, 2015
SEC Awards Compliance Officer Million Dollar Whistleblower Bounty
April 22, 2015
US Attorney and SEC Charge Investment Advisor In $20 Million Fraud
April 17, 2015
The Ponzi, The Inmate, And The SEC's 43,000 Pages In The Mail
April 16, 2015
SEC Commissioner Stein On Wall Street's Data Explosion
April 15, 2015
SEC ALJ Corrects Dollars And Dates But Not Derision
April 15, 2015
SEC Derails Scam Train On Trading Platform
April 13, 2015
SEC Whistleblower Program Is A Black Hole Of Despair
April 9, 2015
Federal Court Cites the Securities And Exchange Commission Dithering
April 6, 2015
SEC Settles With KBR On Effort To Impede Or Undermine Whistleblowers
April 2, 2015
SEC Grants FINRA An Extraordinary Voluminous Extension
March 19, 2015
The Amazing Mobius Strip Of Wall Street Regulation
March 18, 2015
SEC Declines To Stay FINRA Bars Pending Appeal
March 11, 2015
Online Coupon Business Cuts Registered Person
March 6, 2015
Supervisor Fined, Suspended, and Barred In Ponzi Fiasco
March 4, 2015
SEC Operation Shell Expel Drains Reverse Merger Cesspool
March 2, 2015
SEC Nixes Reconsideration Of FINRA Client Files Case
February 25, 2015
FULL TEXT 2nd Circuit Fezzani v. Bear Stearns
February 6, 2015
Lawsuit Says FINRA Guilty of Deliberate, Retaliatory,and Malicious Conduct
February 2, 2015
SEC Sings You're Gonna Have To Serve Somebody With A Proper Brief
January 26, 2015
Chinese Pharma Private Securities Transactions
January 23, 2015
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