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Topic List for Sp (211 results)
After a 26-Year Regulatory Nap, FINRA Discovers Firm's WSPs Are Inadequate
January 8, 2024
FINRA Takes A Shameful Victory Lap In Its Spoofing Settlement with Bank of America
November 30, 2023
Quantum Physics and FINRA's Inability to Tally the Votes of Its Board Elections
November 2, 2023
Nondisclosure of FINRA 2023 Board Votes Is Hypocritical Lack of Corporate Governance Transparency
October 5, 2023
FINRA Can't Quite Put a Name On It: Perjury or False Testimony or Misleading Testimony
July 31, 2023
Wells Fargo Refuses Wife's Demand To Liquidate Joint Account and Send Her 50% of Proceeds
June 9, 2023
2Cir Remands to EDNY Disparate Sentence in Boiler Room Pumping
April 17, 2023
A Form of Lunacy Has Overtaken the SEC
March 16, 2023
SEC No Longer Believable When It Comes To Whistleblower Award Denials
March 2, 2023
Transfer of AMC Shares From Webull Financial to Fidelity Becomes Unfunny Comedy of Errors
January 13, 2023
Federal Court Denies Reconsideration of FINRA Referral Letter Cited In Federal Insider Trading Appeal
December 19, 2022
SEC Chair Gensler Speaks About Shakespeare and Hammurabi While FTX Dissolves
November 15, 2022
FINRA Cites RBC Capital Market's Supervisory Review, Personnel Turnover, and Outdated Tech
November 1, 2022
Parietti's Predicament And Prosecutors' Puzzling Principles
August 8, 2022
Guest Blog: Fair Credit Reporting Act (FCRA) and Regulation S-P by Regulated or Aggrieved
July 11, 2022
The Flash Crash, Interactive Brokers, Two Hedge Funds, John Does, and Homer Simpson's Appetite for Donuts
July 6, 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
Guest Blog: Now You See It, Now You Don't by "Regulated or Aggrieved"
June 15, 2022
FINRA Torches Small Brokerage Firm Over Due Diligence Procedures
May 10, 2022
FINRA Referral Letter Cited In Federal Insider Trading Appeal
March 30, 2022
FINRA and SEC Continue Dakota / Zipper Ping Pong Game of Dubious Regulation
March 18, 2022
SEC Director Calls Awkward Football Audible During Wall Street Gamification Bowl
February 14, 2022
The Collision of the Inept With The Incompetent -- A Wall Street Compliance and Regulatory Tale
December 22, 2021
The Ex-Wife, the Ex-Husband Stockbroker, the Two FINRA Arbitrations, the Stale Case, the Default Case, and the Appeal
November 17, 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
FINRA Arbitrators Revise Beneficiaries in Transfer on Death Accounts
October 27, 2021
Troubling FINRA Regulatory Case: Quis custodiet ipsos custodes?
October 7, 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
FINRA Sanctions CCO/AMLCO Over Microcap Red Flags And Private Placement Disclosures
July 21, 2021
The SEC Says Sponsored Research Didn't Disclose It Was Paid For
July 1, 2021
Three FINRA AWCs and One Mess of an Arbitration Raise Unanswered Questions About Supervision
June 1, 2021
FINRA Arbitrators Cite RBC Investigator's Tactics In Disrespectful Award
May 27, 2021
First Circuit Remands NY Life Racism Case to FINRA Arbitration
March 31, 2021
As Time Goes By At FINRA And TradeStation
March 4, 2021
The Saga of FINRA Versus Kimberly Springsteen-Abbott
March 1, 2021
Not Getting Away With What You Are Trying To Get Away With On Wall Street
February 22, 2021
GUEST BLOG [In]Securities: A Worried Song By Aegis Frumento Esq
January 22, 2021
Last Dance for FINRA's Zipper? Nope, SEC Says Let's Do It Again
December 28, 2020
Outrageous Romance Scam Earns Even More Outrageous Sentence
December 8, 2020
Schemes From a California Restaurant
December 7, 2020
FINRA Sanctions Former Morgan Stanley and UBS Reps Over Misuse of Customer Information
December 2, 2020
Who Knows Where The Time Goes With Former JP Morgan Rep's FINRA AWC
November 18, 2020
DC Circuit Court Sustains SEC Orders Against Thaddeus North
October 27, 2020
Russians Launch Cyberspace War and BREAKING STORY: US v. Google
October 20, 2020
Love In the Time of Covid Expires for SEC
October 2, 2020
FINRA Fines and Suspends Rep for Transferring Customer List to New Employer
September 10, 2020
Legend-ary Retirement Plan Embroils Cetera and First Allied in Federal Lawsuit
May 26, 2020
FINRA Censures, Fines and Orders Restitution in Suitability Settlement
May 6, 2020
FINRA Baseball Caps, Rice Krispies Treats, Hiring Spree, and ZOOM OTRs
May 1, 2020
[In]Securities Guest Blog: Life's for the Living by Aegis Frumento Esq
April 23, 2020
Federal Courts Reject FINRA Arbitrators' Manifest Disregard in Respondeat Superior Case
March 31, 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
The Saga of FINRA Versus Kimberly Springsteen-Abbott
February 10, 2020
FINRA Arbitrator Invokes Ineligibility Sua Sponte To Bar Expungement
February 3, 2020
Fee Based Rep Seeks Expungement Over Commissions He Never Charged
December 4, 2019
Federal Court Denies FINRA Arbitration of NY Life Racism Case
November 18, 2019
Tower Research Capital Not Such a CFTC Bad Boy After E-Mini Fraud
November 8, 2019
The SEC Empire Strikes Back After Reinjuring Its Groin On Planet Daspin
October 18, 2019
Guest Blog: Merrill Lynch Production Policy Causes Age Discrimination by Jerry Marks, Esq
October 7, 2019
Getting the Girl to Do It On Wall Street
October 4, 2019
Oops I Did It Again Is No Defense In Second FINRA AWC
September 9, 2019
FINRA AWC Cites Prospective Customer, Possible Investor, and Proposal
September 4, 2019
FINRA Bars Stockbroker After RBC Makes $1 Million Pricing Error
August 28, 2019
FINRA Puts Lime Brokerage in the Self-Regulatory Coconut
August 21, 2019
GUEST BLOG: Standing on the Moon by Aegis Frumento Esq
July 18, 2019
FINRA Fines and Suspends Rep for Unauthorized Transfer of 270 Customers' Info
July 16, 2019
Customer's Wife Rescues Former Edward Jones Broker In Expungement Case
July 10, 2019
The Wife, The Husband, The Divorce, Edward Jones, The Stockbroker, and The Messy FINRA Arbitration
June 26, 2019
Comerica Securities Tells Suing Customers It Ain't Me, Babe
June 12, 2019
Another Day. Another FINRA Regulatory Settlement. Another Case Involving Who Owns the Customer
May 31, 2019
FINRA Censures and Fines Firm Over Supervision of Watch and Restricted Lists
May 6, 2019
FINRA Warns Of Imposter Brokerage Websites
April 30, 2019
UPDATE: Banker's Affair With Customer's Husband Lands Safra In FINRA Arbitration
April 29, 2019
Sonny Corleone At the Toll Booth: A Study of a FINRA Email Review Settlement
April 16, 2019
Banker's Affair With Customer's Husband Lands Safra in FINRA Arbitration
April 12, 2019
Court Suspends Former NYSE Arbitration Counsel and FINRA Arbitrator
April 10, 2019
Ex-Husband Says Ex-Wife and Stockbroker Looted Insurance Proceeds From Joint Account
April 1, 2019
FINRA Settlement Not Fussing And Fighting But Working It Out
March 25, 2019
Edelman Financial Services Loses Non-Solicit Non-Disparagement Case
March 22, 2019
FINRA Suspends CEO and CCO Over Failed Supervision of Exotic ETFs
March 20, 2019
Wife Says JP Morgan and Stockbroker Scammed Her In ReFi of Ex-Husband's Mortgage
March 8, 2019
GUEST BLOG: In for a Pound by Aegis Frumento Esq
March 7, 2019
GUEST BLOG: To Hold and Have Not by Aegis Frumento Esq
February 14, 2019
The Errors on the Whited-Out Variable Annuity Form and FINRA's Fine and Suspension of a Supervisor
February 6, 2019
Hymn for the Missing FINRA Public Customer Claimant
December 18, 2018
FINRA Rule 8210 and FINRA Rule 9552 Analysis by Bill Singer Esq
December 11, 2018
FINRA Rule 8210 Demands End With Stockbroker Bar
December 10, 2018
Stockbroker Victimized By Mother In Law Complaint About Stolen Funds
November 16, 2018
GUEST BLOG: A Pulitzer Prize for Risk Disclosures? by Aegis J. Frumento Esq
November 8, 2018
Ameritas Stockbroker Wins Snowball In Hell Expungement
October 22, 2018
The Stockbroker, His Wife, 3 Customers, 3 Healthcare Proxies, 1 Trust, and 1 IRA
October 5, 2018
Last Dance? SEC Hopes It Has Finally Zipped Zipper Appeals
October 3, 2018
SEC Severely Reduces Whistleblower Award for Unreasonable Filing Delay
September 17, 2018
Disparaging a FINRA Disparagement Arbitration
August 21, 2018
Open Letter to FINRA CEO Robert Cook, Chair Bill Heyman, and Board of Governors
August 15, 2018
FINRA's Innovation Outreach Initiative and Fifth Harmony Taxonomy As Utilized in Fintech AI
July 31, 2018
The 93 Year Old Customer with Dementia, The Guardian, The Stockbroker, and the Compliance Officer
July 30, 2018
FINRA Arbitrators Award Commission to Associated Person For Raising Capital for Customer
July 26, 2018
UPDATE:Non-Attorney Representatives Involved In FINRA Arbitration Blight
July 23, 2018
SEC Seeks to Reform Its Whistleblower Process
July 3, 2018
The Double Edged Sword of Facts And A FINRA Expungement
June 28, 2018
The Elderly Wife, The Husband, and The Transfer on Death Account
June 27, 2018
Zipper Plays Sisyphus to FINRA's Zeus
June 21, 2018
Is FINRA Sleepwalking Through Member Firm Examinations?
June 20, 2018
The Human Factor On Wall Street
June 14, 2018
Feuding Stockbrokers Set Stage for Expungement of Cookie Cutter Customer Complaints
June 1, 2018
FINRA Orders Partial Restitution in Activity Letter Settlement
May 8, 2018
UPDATE: Medical Marijuana Biz Goes Up In SEC Smoke
May 1, 2018
Federal Courts Wrestle With Opening Doors To US Courthouse to KOSPI Class Action
April 2, 2018
Non-Attorney Representatives Involved In FINRA Arbitration Blight
March 1, 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
GUEST BLOG: The Department of Justice's Coming Out Party by Darrell Whitman
February 6, 2018
FINRA Stuffs Stifel's Trading Ahead Exemptions
February 2, 2018
FINRA Fines Firm Over Research Reports Practices
January 26, 2018
FINRA Dispute Hangs Out As SEC Unzips Zipper Appeal
January 16, 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
A Little Bit of FINRA Hypocrisy For $20,000
December 19, 2017
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
The FINRA Auction Market for Regulatory Fines and Suspensions
December 7, 2017
UPDATE: SEC Says No Mulligans For FINRA Settlements
November 29, 2017
Edward Jones Stockbroker Shot Blanks In FINRA Customer Signature Settlement
November 28, 2017
DOL Whistleblower Darrell Whitman Files Emergency Request with US Office of Special Counsel
November 24, 2017
FINRA Plays Hide And Seek With Six Years Of Unauthorized Sales And Withdrawals
November 22, 2017
Spoofing Email Sends Payment To Minneapolis, Shanghai, and Bremen
November 21, 2017
Was That Customer Email a Discussion, Grievance, or Complaint?
November 2, 2017
Oil Industry Website Hacker Sentenced To Prison
October 10, 2017
SEC Rejects Stockbroker Appeal of 2006 NASD Bar
October 5, 2017
FINRA Borrowing Settlement Involves Friendly 96 Year Old Customer
October 4, 2017
SEC Says No Mulligans For FINRA Settlements
October 3, 2017
Lawyers Cast Aspersions In Nasty FINRA Arbitration Involving Divorced Couple
September 22, 2017
Starship Enterprise, Lone Ranger, Tonto, Silver, Pumpkin Spice Latte, And FINRA Settlement
September 18, 2017
7th Circuit Affirms Spoofing Conviction
August 16, 2017
$5.5 Million Power of Attorney Doctor Sees Dead Lawyers
August 11, 2017
SEC Settlement Cites Trading Ahead of Research
June 27, 2017
FINRA Fines And Suspends Husband For Adding His Wife As Customer's Annuity Beneficiary
June 20, 2017
Stockbroker and Wife Fake Statements For Home Loan
June 16, 2017
FINRA Says That's Not How To Keep HSBC Customers Satisfied
May 18, 2017
FINRA Settles With Merrill Lynch Rep Who Tried To Sell Customer Information
April 11, 2017
$9 Million Diamond Fraud Detailed in Unsealed Criminal Complaint
April 5, 2017
Expunging Customer Dispute Information Under FINRA Rule 2080
March 29, 2017
Warp Speed Dismissal in Lightspeed Trading Arbitration
March 24, 2017
FINRA Cites Pennystock Sales By Feltl Rep While Customers Buying
March 10, 2017
SEC Will Not Appeal Bartko And Posts Online Form For Reversing Collateral Bars
February 24, 2017
Medical Marijuana Biz Goes Up In SEC Smoke
February 10, 2017
SEC Hit By Wave Of Petitions For Removal of Post-Bartko Collateral Bars
February 3, 2017
Stockbrokers, Spouses, Marriage, and Away Accounts
January 26, 2017
SEC Slams Brakes On FINRA In A Hurry To Get Things Done
January 25, 2017
SEC Collateral Bars Set Aside In Dramatic Bartko Victory
January 18, 2017
Guilty Plea In FOREX Price Fixing Case
January 13, 2017
FOREX Markets Hit By New Indictments
January 11, 2017
A FINRA Settlement Asks How Long Is Too Long? When Is Enough Enough?
January 3, 2017
UPDATE: Hacking (Not Fracking) Gives Oil Industry Website Developer Gas Pains
December 20, 2016
Edward Jones Discriminated Against Female Employee
December 14, 2016
The Divorcing Husband And Wife Stockbrokers Joint Production Team
November 17, 2016
Godzilla, Frankenstein, tradeMONSTER and Not So Obvious Error
November 10, 2016
Death Be Not Proud Or Profitable In SEC Fraud Case
November 7, 2016
The Chief Compliance Officer, The Taxman, And FINRA
October 24, 2016
Majestic FINRA Customer Arbitration Decision Grapples With Non Lawyer Role
October 21, 2016
Sportspicks.com Founder Loses FINRA Regulatory Wager
September 27, 2016
Ex-Wife Sues Wells Fargo Stockbroker Over Expert Witness Role In Divorce
September 13, 2016
SEC Splits Over CPA Bars For PCAOB Audit
August 15, 2016
Wally and Giovanni: New FBI Crisis Response Canines
July 20, 2016
Coscia Sentenced to 3 Years In First Spoofing Case
July 13, 2016
Multiple Max Bialystocks in Movie Scam Indictment
July 6, 2016
The Husband's IRA, The Ex-Wife, The Forgeries, The Withdrawals, And The Lawsuit
June 23, 2016
FINRA Mixed Message About Inflating Sales And Trades
June 20, 2016
Love And Marriage On Wall Street
May 25, 2016
BREAKING STORY: FULL TEXT SEC Complaint and DOJ Indictment and Information in Dean Foods Insider Trading Case
May 19, 2016
Online Microcap Finder Fee Platform Raises FINRA Regulatory Concerns
May 12, 2016
Pro Se Respondent Wins Appeal Of SEC ALJ Summary Disposition
May 6, 2016
How Can I Be Sure In A FINRA World That's Constantly Changing?
May 2, 2016
FINRA Sanctions Firm and CCO in Texting Settlement
April 28, 2016
Pennystock Sponsored Content Fraud Ends With SEC Bars
April 7, 2016
Hacking (Not Fracking) Gives Oil Industry Website Developer Gas Pains
April 4, 2016
Chief Compliance Officer Fined and Suspended For Failed Email Review
March 4, 2016
SEC Cites Stockbroker Over Confidentiality of Inherited Accounts
March 2, 2016
You Hear The One About The Bleeding Guy in the Hospital Who Shot Himself?
February 25, 2016
UPDATE: SEC Inspector General Exonerates ALJ System
February 12, 2016
FINRA and Smarsh Prevail In Spoliation Case
December 28, 2015
SEC Fails to Destroy Daspin Death Star Over Cloud City of Bespin
December 18, 2015
The SEC Fears The Email Privacy Act
December 3, 2015
Stockbroker Fined And Suspended In Email Transfer of Customer Info From Merrill To Ed Jones
November 18, 2015
FINRA Complains About CCO Complaint Reporting
October 29, 2015
Down-Low Download Of Contact Information Sends Stockbroker Offline
October 28, 2015
Conspirators Indicted In Online Malware Attacks Against Financial Accounts
October 19, 2015
SEC Settles Prop Trading Spoofing Case
October 12, 2015
Blackstone Rocked By SEC Over Disparate Legal Fees
October 8, 2015
Undercover FBI Pennystock Sting
September 9, 2015
Website, Social Media, Fees,and Email Fall Off Compliance Officer's Radar
July 20, 2015
Stockbroker Husband Signs Insurance Loan for Wife But She Denies Authorization
July 9, 2015
FULL TEXT Espinoza v. Dimon London Whale Shareholder Derivative Suit
June 17, 2015
Failed Email Review Offers Example Of Hidden Compliance Costs
June 5, 2015
Lost Lavatory Laptop Lands Sterne Agee In Crapper
June 1, 2015
Stockbroker Fined and Suspended For Sending Customer Data To New Firm
May 18, 2015
FINRA Moves to Dismiss Spoliation Claims
May 5, 2015
FINRA Named As Defendant In Case Alleging Altered Electronic Files
April 24, 2015
FULL TEXT Criminal Complaint in USA v. Sarao Flash Crash Case at BrokeAndBroker
April 22, 2015
SEC Whistleblower Program Is A Black Hole Of Despair
April 9, 2015
BREAKING NEWS: Supreme Court Vacates And Remands Young v. UPS
March 25, 2015
FINRA Fines Firm For Miscommunication Between Compliance And Payroll
March 13, 2015
Stockbroker Selfies Are Regulatory Negatives
February 12, 2015
UPDATE: 1st Criminal Prosecution of Layering and Spoofing Hits HFT Sphere
January 13, 2015
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Subject Matter Jurisdiction
Tennis Court
Mistake
Trade Practices
Oilpro
Charge
Rule 13904
Rule 12104
Calls
Cantor Fitzgerald
Allocation
Compliance Questionnaire
Trading
Jay Clayton
Retired Woman With Cane
10b-10
Constructive Discharge
Rule 3210
Johnson
Purshe Kaplan
DAO
Powell
wrongful termination
AWC. FINRA
FINRA Arbitration
Teleconference
Finder\'s Fee
Rule 12203
Hotel
Jarkesy
Nationwide
ESOP
Kierkegaard
Motion
Reason for Termination
LIBOR
AXA
YouTube
Administrative Process
SDOH
Non-Disclosure
ESG
CE
Fernandez
Trader
Tax Advice
Pham
Panama
Telephone
Vungarala
Cherry Picking
Expulsion
Lorenzo
Nicolas Corcione
Fundacion Nicor
Ten Commandments
Credit Cards
SDCA
Retroactive Bar
Collateral Bar
Municipal Advisor
Fine
Financial Disclosure
Retroactive
Pershing
GME
FNI Media
sexism
NRSRO
DRS
NFT
Section 1332
Exception Reports
Schottenstein
Bartko
FINRA Foundation
Negligence
Private Placements
ALJ Grimes
Third Party Beneficiary
Transparency
JOBS Act
Last Known Address
QuadrigaCX
Mantar
GAP
Rule 21F-17
In House Counsel
CD
NYAG
Communications
Undertaking
expenses
Promoter
SLUSA
Accounting
JAMS
In Connection With
Deceased Customer
MAP
reimbursement
TSSB
HSBC
false statements
AMC
Rule 13206
Reg SHO
DMCA
Gross
Ruder Task Force
Confidential
Audit Committee
Sharing Agreement
Books and Records
Kiting
Rule 144
VXX
Corporate Governance
Motion to Compel Arbitration
Back Dated
Equity
ACT!
Tysk
Altered
Apartment
Particularity
Declaratory Judgment
Rule 13212
Lek
Rule 13201
Ethics
Court of Appeal
Orders
Daspin
Rule 2140
APA
Title VII
Motion to Exclude
Section 206
PSRO
Joint Production
Discharge
Exception Report
Salman
Stephen A. Kohn
Self Regulatory Organization
Investment Advisers Act
Kent
Transitional Bonus
UIT
MSPB
Ruemmler
Production Bonus
Burden of Proof
Notice
Alcoholism
Jury Instructions
Harris
finra
Confirmation
NPI
Sterne Agee
ALJ Foelak
NMS
Covid-19
Shotgun Pleading
Risk
Romer
Article V
Motiion to Acquit
Fraudulent Inducement
Grievance
LOA
annuities
Wires
Crowdfunding
Hacker
Confidential Customer Information
defamation
Rule 12511
Bob Dylan
Data
Meals
Office of Special Counsel
Escrow
Clearing Firm
Bill singer
Unauthorized Trades
Stipulation
Reasonable
SIFMA
S&P
Microcap
elderly
Motion to Postpone
Electronic Communications
Fidelity Brokerage Services
Public Arbitrator
Dostoevsky
Bezos
Municipal Bonds
Berthel Fisher
ETFs
Expert
EDVA
FOREX
Currency
CNBC
Income
Capitalism
No Show
Series 79
Guardian
Punitive
Cryptocurrencies
PN
Exotic ETF
Clayton
Lexicon
Reg D
Ecuador
Production
Hayden
Newbridge
MDLA
Daughter
Witness Tampering
JPMorgan Chase
NYLIFE
Non-Solicit
Rule 420
Voya
Principal
Quasi Governmental
Exemption
Non Compete
College
Solomon
Day Trading
Disability
Regulation
Elon Musk
Restaurant
Private Actor
Disparate Treatment
Abstention
AI
Chief Compliance Officer
Willfull
Nietzsche
Bequest
Rule 2330
Rule 9216
Unregistered
Fee
Conflicts
Rule 1031
Game of Thrones
whistleblower
Initials
Perjury
Investment Adviser
Howey
Harassment
Vaccarelli
Led Zeppelin
Broke And Broker
Judgments
Traders
Exhaustion Doctrine
SIE
Success Fee
TradeStation
ADR