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Topic List for T (1922 results)
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
After a 26-Year Regulatory Nap, FINRA Discovers Firm's WSPs Are Inadequate
January 8, 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
An Unsympathetic Federal Court Sustains Unexplained FINRA Arbitration Award
December 27, 2023
Securities Industry Commentator by Bill Singer Esq
December 26, 2023
D.A Davidson Wins Unjust Enrichment Arbitration Against Ghost of Christmas Present Former Employee
December 14, 2023
NOW LIVE! The Financial Professionals Coalition, Ltd. Marketplace
December 12, 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
FINRA Refuses To Publish Board Election Vote Tallies -- Three Months of Regulatory Hypocrisy
December 4, 2023
Oral Argument at SCOTUS on SEC v. Jarkesy (Listen to Audio File / Read Transcript)
November 28, 2023
Double Standards In State Regulation and Self Regulation of Wall Street's Large Firms
November 20, 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
Quantum Physics and FINRA's Inability to Tally the Votes of Its Board Elections
November 2, 2023
Will Schwab Sink or Swim with ThinkOrSwim?
October 30, 2023
Divorced Customer Sues Morgan Stanley Over Bond Purchases
October 25, 2023
Former Rep Sues for Compensation After Involuntary Termination
October 23, 2023
The Frustrations And Atrocities Experienced by Merrill Lynch Customers
October 12, 2023
Federal Court Denies Kim TRO and Injunction Against FINRA Enforcement Action
October 10, 2023
Nondisclosure of FINRA 2023 Board Votes Is Hypocritical Lack of Corporate Governance Transparency
October 5, 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
JP Morgan Securities Ordered to Pay $1.4 Million in Damages in Unexplained Arbitration
September 21, 2023
Lackluster FINRA Board Mishandled 2023 Election and Refuses to Disclose Vote Tally
September 18, 2023
Kabuki Theater at the Senate Banking Committee Starring SEC Chair Gensler
September 13, 2023
2023 FINRA Election Boycott: Awaiting the Tally
September 6, 2023
The Hidden FINRA Arbitration Costs for Not Repaying a Promissory Note
September 6, 2023
Two Towering Dissents Against CFTC Order Involving Goldman Sachs
September 1, 2023
UPDATE: Bill Singer, Esq. Files Form TCR with SEC Seeking Investigation of FINRA Election Interference
August 29, 2023
Latest Round of Wall Street Regulatory Idiocy: Zipper/Dakota v. FINRA Arrives at Point of Insanity
August 21, 2023
FINRA Board of Governors Confronted with Troubling Jeffrey Epstein Developments
August 16, 2023
SEC Dismisses Attempt to Do Something About a FINRA AWC
August 14, 2023
Bill Singer Renews Call to Boycott FINRA 2023 Elections
August 11, 2023
The FINRA Crypto Hub-bub and William of Ockham
August 7, 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
A Not So Final Closing of the Purchase of a Broker Dealer
July 26, 2023
FINRA Has Some 'Splaining To Do As Arbitrators Deny Gender Discrimination Claims
July 24, 2023
Federal Court Says FINRA Arbitration Not So Lucid in the Sky with Diamonds
July 19, 2023
Federal Court Says Mere Email Noting Change of Employment Does Not Arise to Solicitation
July 18, 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
Failure to Launch Three FINRA Rule 8210 AWC Settlements
July 7, 2023
Court Denies Vacatur of Over $2 Million FINRA Arbitration Award Involving Disputed Customer Transfer and Asset Purchase Agreement
June 21, 2023
Bill Singer Calls for Boycott of 2023 FINRA Elections
June 16, 2023
There's Something Happening Here at a FINRA Customer Arbitration; What It Is Ain't Exactly Clear.
June 14, 2023
SEC Sends FINRA Expungement Back to the Future
June 12, 2023
Wells Fargo Refuses Wife's Demand To Liquidate Joint Account and Send Her 50% of Proceeds
June 9, 2023
Federal Circuit Court Says Price Isn't Right In UBS Whistleblower Retaliation
June 7, 2023
Branch Manager and FINRA Fail to See Red Flags of Unsuitability Involving Senior Customers
June 6, 2023
Physically Delivering Digital Assets In Order To Satisfy CFTC's Observation
June 5, 2023
SEC Orders FINRA to Raise Its Arbitration Forum Gate For Expungements
May 30, 2023
Light Bulbs, Coffee Cakes, and FINRA's Regulation of Stockbrokers Designated As Estate Beneficiaries
May 25, 2023
Questioning if Alleged Harm Was Irreparable, Federal Court Denies TRO
May 23, 2023
FINRA Pulls Its Punches In Felony Non-Disclosure Settlement
May 22, 2023
FINRA Board of Governors Fails to Confront Goldman Sachs $215 Million Gender Discrimination Settlement
May 10, 2023
SEC Says No Second Bite of FINRA Expungement Apple
May 9, 2023
The Fair But Unsatisfactory FINRA Arbitration Hearing
May 8, 2023
Securities Industry Commentator by Bill Singer Esq
May 5, 2023
A Call for Boycott: FINRA Board of Governors' Cowardly Silence Becomes Thunderous
May 1, 2023
FINRA Arbitrator Dismisses 21 Year Old Claim Against Citigroup Global Markets
April 28, 2023
The Six-Year FINRA and SEC Regulatory Saga of Craig Scott Capital
April 26, 2023
FINRA Arbitrators Checkmate SunTrust With Punitive Damages for Misuse of Rep's Name and Picture
April 24, 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
FINRA Arbitrators Award Damages Against Morgan Stanley In Case Alleging Customer Lacked Mental Capacity
April 11, 2023
Pro Se Registered Respondent A No Show At Arbitration Involving Cambridge Capital Group
April 10, 2023
In 2023 FINRA Settles With Goldman Sachs Over Mismarked Short Sales Dating Back to 2015
April 5, 2023
FINRA Arbitration Award Gives Us A Case of Gas From Chipotle Bean Burrito Puts
April 3, 2023
GUEST BLOG: [In]Securities: The Influencers: The SEC Grounds Stars' TRX by Aegis Frumento Esq
March 31, 2023
FINRA Shamefully Fines and Suspends Rep For Mistakenly Using A Rep Code
March 29, 2023
FINRA Doesn't Bank On It When It Comes To Wife Of Former UBS Employee
March 27, 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
Financial Professionals Coalition, Ltd Endorses Ronald Filler, Esq's FINRA Petition for Direct Registration Exam
March 21, 2023
JOIN the Financial Professionals Coalition, Ltd. FREE MEMBERSHIP
March 20, 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
The Financial Professionals Coalition: Join Us Today
March 8, 2023
Blackbook Capital Versus FINRA: A Decade of Battle
March 6, 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
Federal Court Deems FINRA Absolutely Immune in Expungement Lawsuit
February 28, 2023
4Cir Remands SEC's Case To District Court For Some Old Fashioned Jury Muddling
February 27, 2023
Financial Professionals Coalition, Ltd. Announces Historic Launch
February 21, 2023
SEC Press Release Fails To Disclose that OCC Settled Charges Without Admitting or Denying Findings
February 17, 2023
Lira v. Edward Jones: An Ironic and Cynical Tale of Alleged Discrimination, Harassment, and Retaliation
February 9, 2023
FINRA Arbitrators Award Customer $144,000 Against Charles Schwab Amid Allegation of Flawed Investment Recommendations
February 8, 2023
FINRA Arbitrator Denies Indemnification Citing Firm's Failure to Supervise
February 6, 2023
The FINRA Regulatory Mule Kicks Defrauded Customers In the Head
February 2, 2023
The SEC Toys With A Dead FINRA Expungement Mouse for 50 Months
January 31, 2023
Federal Appellate Court Affirms Dismissal of Wells Fargo and FINRA
January 30, 2023
Bill Singer Slams Garbage Regulation on Wall Street
January 25, 2023
Transfer of AMC Shares From Webull Financial to Fidelity Becomes Unfunny Comedy of Errors
January 13, 2023
We Got A Version. We Got A Sample. We Got A 17 Year Old Margin Capability Dispute Against E*TRADE
January 12, 2023
FINRA NAC Fines and Suspends Rep For Paying Commissions to an Unregistered Person
January 10, 2023
Did You Hear The One About The Zombie Who Requested An IRA Distribution?
January 9, 2023
Imagine That a $10 Million FINRA Arbitration Claim Settles for $100,000
January 6, 2023
Federal Court Says Customer Had Duty To Notify Schwab of Malfunctioning Order System
January 4, 2023
Removal of FINRA Arbitrator Cited by Schwab and Interactive Brokers in HFT Customer Dispute
January 3, 2023
TD Ameritrade Escapes $1.7 In Damages But An Advisor Gets Slammed by FINRA Arbitrators
December 29, 2022
FINRA Can't Wait Forever Even Though Morgan Stanley Wants It To
December 27, 2022
TD Ameritrade Customer Sues Over Alleged Wrongful Margin Sell-Out
December 22, 2022
FINRA Sued in the Wrong Place At the Wrong Time Affirms Federal Circuit Court
December 21, 2022
FINRA and Citigroup Global Markets Not SHO Enough
December 20, 2022
Federal Court Denies Reconsideration of FINRA Referral Letter Cited In Federal Insider Trading Appeal
December 19, 2022
Newborn Baby, Paternity Leave, Away Account, Loss of Job, and the FINRA Fine and Suspension
December 15, 2022
Edward D. Jones Fails To Timely or Fully Produce Phone Records to FINRA
December 14, 2022
Intellivest Securities Hunts Down Raiders Who Allegedly Gutted The Brokerage Firm
December 12, 2022
Time to Overhaul SEC Whistleblower Program
December 5, 2022
Sexism on Wall Street: The Cowardly Silence of FINRA's Board of Governors
November 28, 2022
Magical Mystery Tour Of A FINRA Arbitration Expungement Award
November 22, 2022
FINRA Fines and Suspends Former SagePoint Rep Who Didn't Actually Know Anything
November 18, 2022
Brokerage Firm Sues Former Stockbroker for Indemnity After Paying Customer Settlement
November 17, 2022
SEC Chair Gensler Speaks About Shakespeare and Hammurabi While FTX Dissolves
November 15, 2022
To Err Is Human. To Forgive Is A FINRA Fine.
November 14, 2022
FINRA Arbitrators Slam Losing Respondents with Hearing Fees in Breach of Contract Dispute
November 10, 2022
TD Ameritrade Loses FINRA Customer Arbitration Citing Inaccurate Statements and Forced Liquidation
November 9, 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
FINRA Cites RBC Capital Market's Supervisory Review, Personnel Turnover, and Outdated Tech
November 1, 2022
FINRA Taxonomy News Release Isn't Newsworthy
October 28, 2022
Accessing FINRA Test Center Launch Codes With Colonel Mustard
October 26, 2022
The Problem for A Merrill Lynch Registered Rep Seeking the Expungement of a Settled FINRA Arbitration
October 25, 2022
TD Ameritrade Customer Loses Incorrect Address FINRA Arbitration
October 24, 2022
Frustrated Interactive Brokers Customer Can't Get No Satisfaction With Tesla Order
October 21, 2022
Deferred Compensation Case Meanders to FINRA Arbitration to Federal Court to State Court to Dumpster
October 19, 2022
Beating a Dead Statutorily Disqualified Horse on Wall Street
October 17, 2022
FINRA Censures and Fines Former Raymond James SVP for Signing Letters of Credit for Customer
October 13, 2022
Keeping Up With Kenny -- Not the Kardashians
October 12, 2022
A Lack of Finality: The Trevor Saliba Saga at FINRA and the SEC and Again at FINRA
October 10, 2022
The Disappearing Act of Elder Abuse in a TD Ameritrade FINRA Arbitration
October 6, 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
Cuyahoga Gone in Appellate Ruling To Send Dispute to FINRA Arbitration
September 23, 2022
Wells Fargo Wins FINRA Arbitration Against Former Rep With Three On And Off Lawyers
September 21, 2022
SEC Buries the Lede About Stunning Misconduct in Its Office of the Ombudsman
September 19, 2022
BrokeAndBroker.com Hit With Second 2022 DMCA Takedown Notice After Prevailing in Same Dispute in 2020
September 16, 2022
Federal Court Denies JPMorgan TRO Against Former Employee But Grants Expedited Discovery
September 15, 2022
The Deceased Customer, His Estate, The Merrill Lynch Employee, The Trusts, The Annuity, the Expert, and the Lawsuit
September 14, 2022
UPDATED: Stone Cold Day of Reckoning for FINRA and Self Regulation
September 12, 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
Tastyworks Eats $2 Million Worth Of Not-So-Tasty ZOOM Options
August 31, 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
10Cir Reinstates in Part La'Tonya Ford's Retaliation /Hostile Work Environment/Constructive Discharge Claims Against Jackson National
August 24, 2022
Former Ameriprise Rep Files Lawyer Malpractice Complaint After Losing FINRA Promissory Note Arbitration
August 22, 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
Barred Stockbroker Charged With Five Counts of Wire and Mail Fraud. Did Any Victim Do Any Due Diligence?
August 18, 2022
Claimant Wins $57 Million in FINRA Arbitration Award and Once More Around The Loop with Bill Singer
August 17, 2022
FINRA Arbitration Panel Finds TD Ameritrade Grossly Negligent With Form U5
August 15, 2022
Overtime at Merrill Lynch Prompts Uneven-Handed FINRA Regulation
August 12, 2022
Federal Court Denies Legend Securities President Bankruptcy Discharge of FINRA Customer Arbitration Award
August 10, 2022
Parietti's Predicament And Prosecutors' Puzzling Principles
August 8, 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
Georgia Court of Appeals Reverses Leggett v. Wells Fargo
August 3, 2022
Equity And Justice Prevail In Breathtaking FINRA Expungement Award
August 1, 2022
FINRA Small Firms Face Existential Crisis. VOTE Stephen Kohn for Small Firm Governor
July 29, 2022
Former Wells Fargo Advisors Senior Vice President Moves Federal Court to Undo 2017 FINRA Settlement
July 27, 2022
BrokeAndBroker.com Blog by Bill Singer Esq
July 26, 2022
Fidelity Brokerage Services Has Two Trains Runnin' in FINRA Arbitration and Federal Court
July 25, 2022
GUEST BLOG: [In]Securities: They're All Here: The Three Circles of Securities Fraud Hell by Aegis Frumento Esq
July 22, 2022
GUEST Blog: FINRA and Another Nail by Stephen Kohn, Candidate for FINRA 2022 Small Firm Governor
July 21, 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: Fair Credit Reporting Act (FCRA) and Regulation S-P by Regulated or Aggrieved
July 11, 2022
GUEST BLOG [In]Securities: Lyin' Eyes: Securities Fraud or Just Plain Fraud? by Aegis Frumento Esq
July 8, 2022
UBS Sued in Federal Court Over Form 1099 Reporting
July 7, 2022
The Flash Crash, Interactive Brokers, Two Hedge Funds, John Does, and Homer Simpson's Appetite for Donuts
July 6, 2022
Charles Schwab SIP Robo-Adviser Cited In FINRA Arbitration
July 5, 2022
GUEST BLOG [In]Securities: Highwaymen: The SEC Pulls Off a Brinks Heist by Aegis Frumento Esq
July 1, 2022
FINRA Report Refutes Court Finding of Fundamental Unfairness in Leggett Arbitration (With Updated Conclusion)
June 30, 2022
FINRA Arbitrators Hit Citigroup With $1.4 Million Damages For Discrimination, Harassment, and Retaliation
June 28, 2022
Edelman Financial Goes After Former Employee in Federal Court
June 27, 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
Former Sales Manager Barred By FINRA After Assistant Takes His CE Training
June 9, 2022
The Nightmare of a Dream Job on Wall Street
June 7, 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 Fines and Suspends Former Morgan Stanley Rep For Putting Compliance Cart After the Horse
May 18, 2022
Edward Jones Sued for $15 Million Over Book of Business
May 17, 2022
Wells Fargo Sues Over Transitional and Production Bonuses But Rep Fights Back
May 13, 2022
FINRA Torches Small Brokerage Firm Over Due Diligence Procedures
May 10, 2022
FINRA Arbitrators and Federal Courts Consider If A Terminable-At-Will Employee Can Be Wrongfully Terminated
May 9, 2022
A Customer Complaint That Wasn't and A Servicing Broker Who Wasn't
May 6, 2022
To Err Is Human, To Forgive Is Not FINRA's Concern
May 4, 2022
The Curious Case of Donald Howard
May 2, 2022
FINRA Arbitration Panel Slams Cetera Advisors with $3 Million Defamation Damages
April 29, 2022
After the SEC's PAUSE, We're Left Wondering Why
April 27, 2022
Pro Se Customer Sues Robinhood But Fails To Show For Round One of FINRA Arbitration
April 26, 2022
Who Opened What Type of Account Becomes a Dilemma in E*Trade Federal Court Motion
April 25, 2022
FINRA Is Aligning Its MAP CAIF Grouping Model With Firm Tofu And Feedback -- or so it seems
April 21, 2022
GUEST BLOG; Still Fighting the Wall Street Bullies by Stephen Kohn
April 19, 2022
FINRA Rights REIT Wrongs With Fine and Suspension
April 18, 2022
GUEST BLOG: Advisor Perspectives - An Interview with Recently Transitioned Advisors by Michael King of Michael King Associates
April 14, 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
Former Morgan Stanley Rep Should Count His FINRA Settlement Blessings
April 11, 2022
The 90 Year Old Customer, The Trust Account, Merrill Lynch, the Asset Sale, and the Margin Trade
April 7, 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
3Cir Considers Absolute Privilege For Alleged Form U5 Defamation
April 4, 2022
The Deceased Mother's IRA, Her Two Sons, Her Deceased Daughter, Her Son In Law, and A Messy Estate Dispute with T. Rowe Price
April 1, 2022
FINRA Arbitrators Hit Commonwealth Financial with Compensatory and Punitive Damages in Defamation Case
March 31, 2022
FINRA Referral Letter Cited In Federal Insider Trading Appeal
March 30, 2022
FINRA Arbitration Claimant Asks Federal Court to Appoint Counsel
March 29, 2022
Arousing the Wrath of the Great and Powerful SEC and FINRA
March 28, 2022
Stockbroker Wins Expungement of Two Edward Jones Customer Complaints
March 24, 2022
Wells Fargo Promissory Note Case Enters Its Second Decade of Litigation
March 23, 2022
Motion to Vacate FINRA Arbitration Award Fails To Raise Federal Jurisdiction
March 22, 2022
FINRA Bars JP Morgan Securities Rep Over Chase Bank Credit Card Charges
March 21, 2022
FINRA and SEC Continue Dakota / Zipper Ping Pong Game of Dubious Regulation
March 18, 2022
One Day In the Life Of Lanny Breuer (the Moscow Anti-Corruption Summit) - Revisited 11 Years Later
March 17, 2022
SEC Claims Review Staff Tortures Whistleblower With Denial of Eventual $14 Million Award
March 14, 2022
Angry E*TRADE Customer Can't Find 750 Shares of Tesla
March 11, 2022
FINRA Arbitrators Award Over $2 Million In Disputed Customer Transfer and Asset Purchase Agreement
March 8, 2022
Former Cantor Fitzgerald Trader Sues Over Wrongful Termination Involving Child Care Leave
March 7, 2022
Fictitious CIA Mission With Bogus Red Cross and Delta Force Influences Became An IRS and Investor Fraud
March 4, 2022
Three-Handed Dilemma Grabs NYAG, NYPPEX, Laurence Allen, and FINRA
March 1, 2022
Federal Courts and FINRA Arbitrators Consider If A Terminable-At-Will Employee Can Be Wrongfully Terminated
February 28, 2022
Federal Court Puts A Fork In Schottenstein FINRA Arbitration and Says It's Done
February 25, 2022
UPDATE: The Google, Candido Viyella, Morgan Stanley, Fundacion Nicor Panama Saga: a Bill Singer 2022 Copyrighted Article fighting DMCA Takedowns
February 24, 2022
Federal Court Denies J.P. Morgan Securities Expedited Discovery in Solicitation Case
February 23, 2022
Cynical FINRA Press Release Lacks Urgency in Response to Arbitration Fiasco
February 22, 2022
The Candido Viyella, Morgan Stanley, Fundacion Nicor Panama Saga: a Bill Singer 2022 Copyrighted Article fighting DMCA Takedowns
February 21, 2022
Robinhood Hit With Damages in a Say-Nothing FINRA Arbitration Award
February 17, 2022
FINRA Sanctions Another Morgan Stanley Rep for Commissions Earned Under Joint Production Agreement
February 16, 2022
Customer Lawsuit Puts Robinhood In The News Again
February 15, 2022
SEC Director Calls Awkward Football Audible During Wall Street Gamification Bowl
February 14, 2022
Federal Court Can't Find Any Basis For FINRA Arbitration Decision In HSBC Managing Director Case
February 10, 2022
Securities Industry Commentator by Bill Singer Esq
February 10, 2022
FINRA Customer Claimant Says Arbitrators Left Out Zeros In Award
February 8, 2022
Court Finds FINRA Arbitration Process Not Fundamentally Fair
February 4, 2022
FINRA Sanctions Rep for Commissions Earned Under Joint Production Agreement
February 3, 2022
Native American Tribe Investment Portfolio Proves Costly for Purshe Kaplan & Sterling Investments
February 2, 2022
FINRA the Sheriff of Nothing-ham and Robinhood
January 31, 2022
FINRA Fines and Suspends Barclays Analyst For Undisclosed Employment Offer
January 28, 2022
JP Morgan Securities' Regional Director's Affidavit Fails to Carry Day in TRO for Impermissible Solicitation
January 25, 2022
FINRA Fines and Suspends Rep Over Undisclosed Elderly Widow's Will Bequest
January 24, 2022
A Bankruptcy, a Voluntary Dismissal, and a Death
January 20, 2022
FINRA Arbitration Award Limits Social Media Liking and Linking
January 18, 2022
Good Vibrations Shoes: 4 Phase Randomized Program Along with a Lithium Rechargeable Power Source
January 14, 2022
FINRA Mulls A Defaulted Bond's Worth
January 12, 2022
How Many FINRA Enforcement Lawyers Does It Take To Prosecute a Default Case?
January 10, 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
FINRA Arbitrators Award $1 In Response to $1 Million In Damages Sought (Sort of)
December 13, 2021
The Prolonged Saga of In re Goldman Sachs Group, Inc.
December 9, 2021
California Court of Appeal Retains State Court Jurisdiction of BTIG Employment Retaliation Lawsuit
December 8, 2021
No Show Respondent in FINRA Arbitration Prompts No Explanation in Award
December 6, 2021
The European-Style Consolatory Cheek Kiss, the UBS Lawsuit, and the Certified Question
December 2, 2021
Did You Hear About The FINRA Arbitration Against Fidelity For Dental Pain and Suffering?
December 1, 2021
Appellate Court Affirms $11.5 Million in Damages and Costs in Employment Defamation Case
November 23, 2021
Sound of Silence From A FINRA Arbitration That Says Nothing About Anything Despite Awarding $650,000
November 22, 2021
Veteran Stockbroker Sues For Unjust Termination Involving Sales Goals and Outside Business Activities
November 19, 2021
The Ex-Wife, the Ex-Husband Stockbroker, the Two FINRA Arbitrations, the Stale Case, the Default Case, and the Appeal
November 17, 2021
Two of Three FINRA Arbitrators Ironically Disappear In Unexplained Expungement Award
November 16, 2021
DreamFunded Dream Faded At FINRA And SEC Declines to Stay Expulsions and Bars
November 15, 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 Chair Murray Ironically Argues Against Self Regulation
November 4, 2021
Postponement Request for Illness in FINRA Customer Arbitration Prompts Covid Testing
November 3, 2021
No-Show FINRA Member Firm Loses Customer Arbitration But Where is FINRA When It Comes To Collecting on the Award?
November 2, 2021
No Margin For Error With Options Expiration
November 1, 2021
Frustrated Former Merrill Lynch Employee Could Not Be Promoted But Maybe Could Have But the Firm Says It Didn't Have To
October 29, 2021
Stipulated Arbitration Award Ends TD Ameritrade Solicitation Dispute
October 28, 2021
FINRA Arbitrators Revise Beneficiaries in Transfer on Death Accounts
October 27, 2021
FINRA Arbitrators Find No Evidence For Customers' $10 Million UBS YES Claims
October 26, 2021
Equitable Inadvertence Earns Inequitable FINRA Sanctions
October 25, 2021
CFTC Awards Largest Single Whistleblower Award of $200 Million But With One Commissioner's Dissent
October 22, 2021
There Was Little She Could Do -- So Why Was This BOM's Record Marked Up?
October 20, 2021
After Morgan Stanley Raised Serious Questions in Failed TRO Against Former Employee, The Parties Stipulate to Preliminary Injunction
October 19, 2021
Federal Circuit Court Sustains Registered Rep's Conviction and Sentence of 90 Months
October 18, 2021
FINRA, FinCen, Networks, Authorities, Priorities, Statements, Guidance, AML, CFT, BSA, and NBFI
October 14, 2021
Public Customers Win (Sort Of) Undelineated Cause of Action In Oddball FINRA Arbitration
October 13, 2021
The FINRA Expungement of A Customer Complaint That Was Not a Complaint Or From A Customer
October 11, 2021
Troubling FINRA Regulatory Case: Quis custodiet ipsos custodes?
October 7, 2021
Testimony Before the United States House of Representatives Committee on Financial Services by SEC Chair Gary Gensler
October 6, 2021
FINRA NAC Affirms OHO But Eliminates Heightened Supervision
October 4, 2021
Veteran Wall Street Reform Advocate Bill Singer Esq. Renews Call for Antifraud Fund and PIABA FINRA Board Seat
October 1, 2021
DreamFunded Dream Faded At FINRA
September 30, 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
FINRA, Claptrap, Fraud, Mental Frames, and Subjective Construals
September 23, 2021
FINRA, Crypto, Covid, and Outside Business Activities
September 22, 2021
The Wheels on the Bus Go Round and Round and Drive Over A Wall Street Career
September 16, 2021
SEC Permanently Bars Frivolous Claimant from Whistleblower Program
September 15, 2021
FINRA Fines and Suspends Young Merrill Trader For Spoofing Treasuries
September 14, 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
FINRA Suspends Unregistered Female for Following Registered Male Rep's Orders
September 7, 2021
The SEC Is Asked to Go Back To The Future to Rewrite History
September 2, 2021
FINRA Fines and Suspends Rep Over False Attestations Involving an Elderly Widow's Beneficiary Designation
September 1, 2021
UPDATE: If You Didn't Know But Now Do. If You Hadn't Told FINRA But Did. If You Ask For A Stay But the SEC Doesn't.
August 31, 2021
Surprise, Surprise, Surprise In FINRA Intra-Industry Defamation Arbitration
August 27, 2021
Federal Court Says Signed, Sealed, Delivered, Oooh Baby, It's Arbitration
August 26, 2021
RIP Charlie Watts: You Can Lose The Backbeat
August 25, 2021
DBS Throws Director Under the FINRA Regulatory Bus
August 24, 2021
FINRA Arbitrator Pens Perfect Rationale in UBS Expungement Award
August 23, 2021
PIABA Wanted Live FINRA Arbitration (But Covid Had Other Plans)
August 19, 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
Morgan Stanley Raises Serious Questions in Failed TRO Against Former Employee
August 11, 2021
FINRA AWC Did Not Require Acceptance of Findings But Why Does Regulator Publish Denials?
August 9, 2021
Securities Industry Commentator by Bill Singer Esq
August 6, 2021
A Free Credit Card Prompts a Costly Expungement
August 5, 2021
At FINRA, Boys Will Be Boys But Girls Should Act Like Proper Ladies
August 4, 2021
FINRA's Restricted Firm Rule: Two SEC Commissioners Toast the Sinking of the Titanic
August 2, 2021
Another Office Girl Gets Slammed By FINRA
July 29, 2021
FINRA Arbitrators Put It There In Disputed AMZN Options Trade
July 28, 2021
Makin' It Rain At The Strip Club -- FINRA Goes After Adult Entertainment Charges
July 26, 2021
GUEST BLOG [In]Securities: Everybody Knows by Aegis Frumento Esq
July 23, 2021
FINRA Fines and Suspends Rep For Seeking COVID Loan
July 22, 2021
FINRA Sanctions CCO/AMLCO Over Microcap Red Flags And Private Placement Disclosures
July 21, 2021
GUEST BLOG: Transitioning to Independence by Michael King of Michael King Associates
July 16, 2021
FINRA Arbitrators Directly Nullify Indirect Non Solicitation Agreement
July 13, 2021
Wasted Time By FINRA Regulatory Notice
July 12, 2021
GUEST BLOG [In]Securities: Tell Me Lies by Aegis Frumento Esq
July 9, 2021
Chase Investment Services Says Former Employee Raised Inadmissible Settlement Communication
July 8, 2021
FINRA Sanctions Rep and Sanctuary Securities Over NT-ETFs
July 7, 2021
Angry Variable Annuity Customer Vexatiously Pursues His Legal Rights
July 6, 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
FINRA Fines and Suspends Rep for Undisclosed Bankruptcy in PPM
June 25, 2021
Veteran Journalist Susan Antilla Discomforts Wall Street Over Racism
June 22, 2021
Attorney Convicted of 28 Counts in FusionPharm Fraud Case Loses Federal Appeal
June 21, 2021
GUEST BLOG [In]Securities: Bird on a Wire by Aegis Frumento Esq
June 18, 2021
FINRA Censures and Fines Citigroup Global Markets Inc. for Failed Supervisory System
June 17, 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
All Along the Watchtower FINRA Defends Against the Invading Notaries
June 15, 2021
FINRA Fines and Suspends LPL Rep For Paying Commissions to an Unregistered Person
June 10, 2021
Native American Tribe's Investment Portfolio Proves Costly for Purshe Kaplan & Sterling Investments
June 9, 2021
The TD Ameritrade Stockbroker and The Customer Were Friends Until Options Trading Came Between Them
June 8, 2021
2Cir Affirms FINRA Arbitrators Award to Jefferies of $1 Million Liquidated Damages For Aborted Employment
June 7, 2021
Now You See It, Now You Don't -- FINRA Rule 2010 Applied by OHO But Rejected by NAC
June 3, 2021
GUEST BLOG: FINRA Withdraws Proposed Expungement Rule by Nancy L. Hendrickson Esq
June 2, 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
Whistleblower Gets Screwed But FINRA Doesn't Care
May 24, 2021
GUEST BLOG [In]Securities: Oh No by Aegis Frumento Esq
May 21, 2021
The Vanguard Customer Didn't Ask, Didn't Listen, But The Firm's Voicemail Sucks
May 20, 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
Whistleblowers Battle Over How To Slice the SEC Award Pie
May 12, 2021
Federal Court Says Second Amended Complaint Looks Too Much Like First Amended Complaint
May 11, 2021
Federal Court Rejects TRO Against Brokerage Firm and RIA
May 10, 2021
GUEST BLOG [In]Securities: Mind Games by Aegis Frumento Esq
May 7, 2021
Former Raymond James Rep Wins One and Loses One in Employment Disputes
May 6, 2021
Federal Court Cites Confusion Of Ray Jay's Many Raymond Jameses
May 5, 2021
The Elderly Customer, The Will, The Stockbroker, The Complaining Brother, And The Post-Mortem Wires and Checks
May 3, 2021
Structuring of Eight Bank Deposits Earns FINRA Suspension
April 30, 2021
FINRA Fear and Wall Street Trembling and The Financial Sickness Unto Death
April 29, 2021
PIABA Wants Live FINRA Arbitrations And Wants It Now
April 28, 2021
Brokerage Firm's Third-Party Complaint Against Its Former CEO Remanded to FINRA Arbitration
April 27, 2021
140 Victims Lost Millions In Investment Using Nanotech to Turn Dirt Into Gold
April 26, 2021
Wall Street Compliance Professionals Need FINRA Like A Heart Attack
April 22, 2021
The Trust, The Beneficiary, The Annuity, The Elderly Customer, and The Stockbroker
April 21, 2021
FINRA Enters Into Fair Settlement Involving Customer Loans and Outside Business Activities
April 20, 2021
The Mother with an Edward Jones Account and Her Daughter the Edward Jones Branch Administrator
April 19, 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
These Foolish Things Remind Me of FINRA
April 14, 2021
First Trades, First Dollars, and the NYSE Celebrates Moments
April 13, 2021
Federal Circuit Court Says Head Scratchin' Act Not Proof of Securities Fraud Scienter
April 12, 2021
Customer Complaints and Away Settlements -- Matters of Interpretation?
April 9, 2021
FINRA Gives Credit to Credit Suisse for Not Having A Relevant Disciplinary History
April 8, 2021
JP Morgan Customer Seems To Have Accused Stockbroker of Not Exercising Unauthorized Discretion
April 7, 2021
FINRA Fines and Suspends Former Barclays Rep Over Reimbursed Expenses
April 6, 2021
The Expungement Was Not Not Warranted But Still Denied
April 5, 2021
GUEST BLOG: Considering Breaking Away from a Wirehouse? The Pros and Cons of Going Independent by Michael King of Michael King Associates
April 1, 2021
First Circuit Remands NY Life Racism Case to FINRA Arbitration
March 31, 2021
The Great FINRA Hand Sanitizer Caper!!!
March 30, 2021
When An Undisclosed Settlement Gets Disclosed to FINRA
March 29, 2021
GUEST BLOG [In]Securities: The Impossible Dream by Aegis Frumento Esq
March 26, 2021
Remember The Story About The Bernie Sanders Coffee Cup Filled With Feces At Cantor Fitzgerald?
March 25, 2021
The FINRA Investor Education Foundation Is A Lonely Hunter
March 24, 2021
Schwab Sued Over Allegedly Malfunctioning Order System
March 23, 2021
11 Cir Sees No Breach of Contract by Ohio National in Variable Annuity Commissions Lawsuit
March 22, 2021
FINRA Notice Reminds Firms Of Obligation To Thoughtfully Craft Strong Rules In Advance
March 19, 2021
FINRA Charges Operations Professional $5,000 for Sushi
March 17, 2021
Securities Industry Commentator by Bill Singer
March 16, 2021
The Grandfather FINRA OBA Paradox
March 15, 2021
GUEST BLOG [In]Securities: Singin' the Varsity Blues, Part 3: Walkin' That Lonesome Valley by Aegis Frumento Esq
March 12, 2021
Did You Hear the One About the Oligarch Money Launderer and Arms Dealer?
March 11, 2021
A Court Seems Unimpressed by Financial Exploitation of an Elderly Widow
March 10, 2021
FINRA Suffers Stunning Rebuke by SEC in Tysk Appeal
March 8, 2021
High Standards In Low Places on Wall Street
March 5, 2021
As Time Goes By At FINRA And TradeStation
March 4, 2021
Vanguard Compliance Manager Submits Altered and Fabricated Documents to FINRA
March 3, 2021
FINRA Censures and Fines Securities America Over Outsourced Onboarding
March 2, 2021
The Saga of FINRA Versus Kimberly Springsteen-Abbott
March 1, 2021
GUEST BLOG: COVID-19's Impact on Financial Advisors / How the Pandemic is Changing the Way Advisors Work by Michael King of Michael King Associates
February 26, 2021
Finders Keepers Losers Weepers Ends With FINRA Bar
February 25, 2021
Securities Industry Commentator by Bill Singer Esq
February 24, 2021
Rowing on the SEC's Whistleblower River of Denial
February 23, 2021
Not Getting Away With What You Are Trying To Get Away With On Wall Street
February 22, 2021
GUEST BLOG [In]Securities: Instant Karma By Aegis Frumento Esq
February 19, 2021
An Elderly Grandma and Sister Who Wasn't and the New VA Beneficiaries
February 18, 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
Former West Point Cadet Blows Up Wall Street Career
February 10, 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
3Cir Says Never Is Better Than Late In FINRA Arbitration Appeal
February 4, 2021
FINRA Expungement Takes on Aspects of a Psychiatric Case
February 2, 2021
The 2021 Edition of the Prime Bank Note Scam
February 1, 2021
Former Merrill Lynch / BOA Employee Wins Dramatic FINRA Expungement
January 29, 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
Negative Consent Morgan Stanley CARE Arbitration Program Sustained by Court
January 21, 2021
A Hard Rain Falls On A Shattered Nation
January 20, 2021
FINRA Fines and Suspends Rep for Taking or Not Giving A Crap
January 19, 2021
FINRA Margin Arbitration Proves All That Glitters Is Not Goldman Sachs
January 15, 2021
Wells Fargo Collects Underpants and Makes Profit But Can't Prove Phase 2 Arbitration Agreement
January 14, 2021
Securities Industry Commentator by Bill Singer Esq
January 13, 2021
Voya Racial Discrimination Case Sheds Harsh Light On Wall Street Mandatory Arbitration
January 11, 2021
GUEST BLOG [In]Securities: No-Hopers, Jokers and Rogues By Aegis Frumento Esq
January 8, 2021
A Business Meal That Wasn't. A Job That's No Longer. A FINRA Regulatory Settlement That Hurts
January 7, 2021
Untimely Disclosure of Tax Liens Upends Chief Compliance Officer Via Statutory Disqualification
January 6, 2021
Did You Hear The One About The Customer Who Sued Because He Didn't Know Insider Trading Was Illegal?
January 5, 2021
FINRA Arbitrator Says It Wasn't UBS Fraud. It Was Covid
January 4, 2021
Moving the Goal Line In a FINRA Expungement Arbitration
December 30, 2020
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
Federal Court Affirms Merrill Lynch Victory in Nigerian Discrimination Case
December 22, 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
Lawyer Says His Compulsive Hoarding Fostered Failure to Timely Pay Taxes
December 16, 2020
SEC Commissioner Peirce Sounds the Due Process Alarm In Response To FINRA Rule Amendment
December 15, 2020
After Midnight It All Hangs Out In Morgan Stanley Arbitration
December 14, 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
Schemes From a California Restaurant
December 7, 2020
Customer's Annuities Lawsuit Backfires During FINRA Arbitration
December 4, 2020
FINRA Fines and Suspends Former NYLIFE Associated Person For Impersonation
December 3, 2020
FINRA Sanctions Former Morgan Stanley and UBS Reps Over Misuse of Customer Information
December 2, 2020
The LPL Stockbroker, The Customer Lawsuit, The Expungement Arbitration, and The SLAPP Lawsuit
December 1, 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
GUEST BLOG: Bill Singer Talks To Industry Recruiter Michael King of Michael King Associates
November 19, 2020
Who Knows Where The Time Goes With Former JP Morgan Rep's FINRA AWC
November 18, 2020
FINRA Gives Rep the Business Over Personal Expenses
November 17, 2020
Two SEC Commissioners Dissent From the Shadows
November 16, 2020
Identities of SEC Whistleblower and Respondent Bank Outed
November 12, 2020
Federal Court Dismisses Challenge to Six Year Old FINRA AWC
November 11, 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
The Wells Fargo Manager's Wife's Signature on Mortgage Forms
November 5, 2020
The Investment Banker, His Friend, the Friend's Holding Company, and the Two Deals
November 4, 2020
Securities Industry Commentator by Bill Singer Esq
November 3, 2020
FINRA Turns 300 Orally Authorized Trades Into 300 Trades Of Unauthorized Discretion
October 30, 2020
Permanent Bar Proves Less Than Permanent As SEC Approves Return to Industry
October 29, 2020
California Court of Appeal Holds Its Ground After Rehearing Tilkey v. Allstate
October 28, 2020
DC Circuit Court Sustains SEC Orders Against Thaddeus North
October 27, 2020
JP Morgan Securities Whiffs In FINRA Arbitration Against Raymond James and Three Former Employees
October 26, 2020
[In]Securities Guest Blog: A Different Kind of Truth By Aegis Frumento Esq
October 23, 2020
NYS Appellate Division Hands Defendants Setback In Lawsuit with Brummer and FINRA
October 22, 2020
FINRA Fines Small Firm And its Owner For Misclassification of Expenses
October 21, 2020
Russians Launch Cyberspace War and BREAKING STORY: US v. Google
October 20, 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
Ballad of a FINRA Man
October 15, 2020
FINRA Fines and Suspends Merrill Lynch Rep Over Apartment Rentals
October 14, 2020
[In]Securities Guest Blog: Don't Know Much by Aegis Frumento Esq
October 9, 2020
Former Cetera Rep Sues AdvisorNet Financial Over Alleged Supervision and Compliance Failures
October 8, 2020
Not Enough Bull In Stairway to Heaven
October 7, 2020
Federal Court Confirms Merrill Lynch's Counterclaim Victory In Puerto Rico Bond Arbitration
October 6, 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
Discovery Misconduct by FINRA Enforcement Prompts Tepid Response from Regulator
September 22, 2020
Securities Industry Commentator by Bill Singer Esq
September 21, 2020
Securities Industry Commentator by Bill Singer Esq
September 18, 2020
Federal Court Affirms Federal Jurisdiction in FINRA Arbitration Appeal
September 17, 2020
Wells Fargo Sues Over Transitional and Production Bonuses And Rep Fights Back
September 15, 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
FINRA Fines and Suspends Rep for Transferring Customer List to New Employer
September 10, 2020
For FINRA, Relevant Is A Large Gray Pachyderm
September 9, 2020
UPDATE: E Pur Si Mouve, Idioti! (Or So An SEC ALJ Should Mutter)
September 8, 2020
Securities Industry Commentator by Bill Singer
September 4, 2020
FINRA Proposes OHO and NAC Hearings Via ZOOM
September 3, 2020
GUEST BLOG: Bill Singer Talks To Industry Recruiter Michael King of Michael King Associates
September 2, 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
The Boogie Woogie Crypto Man of Company C
August 28, 2020
SEC Evaluates Possibility of Granting Relief During Catastrophic Hurricane Laura
August 27, 2020
GUEST BLOG: Bill Singer Talks To Industry Recruiter Ron Edde of Millennium Career Advisors
August 26, 2020
Pro Se Public Customer Alleges FINRA Arbitrators' Misconduct in Schwab Case
August 25, 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
FINRA Arbitrators Find Customer Complaint Made Virtually No Sense During Virtual Hearing
August 19, 2020
UPDATE: No Rationale And No Explanation In FINRA Arbitration Decision
August 18, 2020
Perplexing, Baffling FINRA Arbitration Award Affirmed in 4Cir Majority Opinion
August 17, 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
SDNY Says You're Gonna Have To Serve Somebody (And Email Ain't Gonna Cut it)
August 11, 2020
UPDATE: Ir-Rationale FINRA Merrill Lynch EFL Arbitration Decision Cited By Tax Court
August 10, 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
JPMorgan Chase Bank Wins SDNY Remand to Arbitration of Cashier's Checks Escheat Case
August 4, 2020
Statistical Voodoo in the 2020 FINRA Industry Snapshot Report
August 3, 2020
VOTE FOR STEPHEN KOHN for 2020 FINRA Small Firm Governor
July 31, 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
Only One Litigant Shows Up For the FINRA Schoolyard Fight
July 27, 2020
Dubious FINRA Study Finds Female Arkansas Prison Inmates Are Usually Poor and Financially Illiterate
July 24, 2020
[In]Securities Guest Blog: When You Don't Know What It Is by Aegis Frumento Esq
July 23, 2020
FINRA Borrowing Rule Seems to Say What It Means But It Doesn't Actually Mean What It Says
July 22, 2020
Hugh Hewitt Supports Stephen Kohn for 2020 FINRA Small Firm Governor
July 21, 2020
UPDATE: No Rationale And No Explanation In FINRA Arbitration Decision
July 20, 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
Bridgewater Over Troubled FINRA Waters
July 15, 2020
Vote for Stephen Kohn for 2020 FINRA Small Firm Governor
July 13, 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
The Walls Came Down Between Research and Investment Banking
July 8, 2020
Securities Industry Commentator by Bill Singer Esq
July 7, 2020
Hancock Whitney Investment Consultant Stung with Non-Solicit TRO
July 6, 2020
[In]Securities Guest Blog: Freedom Flashing by Aegis Frumento Esq
July 3, 2020
$25,000 E*Trade Pattern Day Trading Minimum Deposit Requirement Challenged in Federal Lawsuit Against FINRA
July 2, 2020
FINRA Settles Untimely Disclosure of Four Felony Charges Without Willfulness Finding
July 1, 2020
Costco Uses Supreme Court's CFPB Ruling to Force Patriotic Americans to Eat Leftist Round Cakes
June 30, 2020
BREAKING NEWS: Seila Law LLC, Petitioner, v. Consumer Financial Protection Bureau (Supreme Court Opinion)
June 29, 2020
UPPER CASE MESSAGES!!! EXCLAMATION POINTS!!! AND A FINRA FINE AND SUSPENSION!!!
June 26, 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
Federal Court Confirms FINRA Arbitration Award But With More Words And Explanations
June 22, 2020
[In]Securities Guest Blog: Gambling Man by Aegis Frumento Esq
June 19, 2020
Federal Court Considers FINRA Arbitrability of Insurance Claims
June 18, 2020
Marilyn Booker v. Morgan Stanley & Co., LLC, James Gorman, and Barry Krouk: FULL TEXT COMPLAINT
June 17, 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
FINRA Arbitrator Troubled by Rep's Advance Collection of Asset Management Fees
June 10, 2020
FINRA Arbitrator Sings Signed, Sealed, Delivered and Return to Sender In Default Award
June 9, 2020
What Presidential Sounds Like
June 8, 2020
Stockbroker Expungement Grapples With Death and Taxes in Time of Plague
June 5, 2020
[In]Securities Guest Blog: As Hollow as it Seems by Aegis Frumento Esq
June 4, 2020
Wells Fargo Sues Over Transitional and Production Bonuses And Rep Fights Back
June 3, 2020
Federal Courts Grapple With Former TIAA Advisor's Racism and Retaliation Charges
June 2, 2020
Troubling Disconnect and Lack of Appropriate Explanation Found in Scapegoat Defamatory Form U5 FINRA Arbitration
June 1, 2020
FINRA Arbitration Has More In and Out Than A Porn Film
May 29, 2020
[In]Securities Guest Blog: The End of the Line by Aegis Frumento Esq
May 28, 2020
Market to Hit New Highs, Shut Down Was An Historic Mistake Says Professor Jeremy Siegel
May 27, 2020
Legend-ary Retirement Plan Embroils Cetera and First Allied in Federal Lawsuit
May 26, 2020
Federal Court Cites Quintessential Shotgun Pleading and Myriad of Motions in FINRA Arbitration Appeal
May 22, 2020
[In]Securities Guest Blog: Dear Prudence by Aegis Frumento Esq
May 21, 2020
Credit Suisse Stockbroker Wins Expungement of Suspicious Customer Complaint
May 20, 2020
FINRA Says Impeccable Merrill Lynch Has No Relevant Disciplinary History
May 19, 2020
Commissioner Peirce Sounds the Alarm About Feeding the SEC's CAT
May 18, 2020
UPDATE: Federal Court Orders Rare TRO In Favor Of Terminated Rep Against Investacorp
May 15, 2020
[In]Securities Guest Blog: Troubled Water Over the Bridge by Aegis Frumento Esq
May 14, 2020
FINRA Arbitrators Award Severance to Former Barclays Employee
May 13, 2020
Securities Industry Commentator by Bill Singer Esq
May 12, 2020
Securities Industry Commentator by Bill Singer
May 11, 2020
Customer Sues TD Ameritrade For Failure to Investigate Fraudulent Debit Card Transactions
May 8, 2020
[In]Securities Guest Blog: Marconi Plays the Mamba by Aegis Frumento Esq
May 7, 2020
FINRA Censures, Fines and Orders Restitution in Suitability Settlement
May 6, 2020
Federal Court Orders Rare TRO In Favor of Terminated Rep Against Investacorp
May 5, 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
[In]Securities Guest Blog: Get What You Need by Aegis Frumento Esq
April 30, 2020
Damages Awarded in Form U5 Defamation Case Against Allstate
April 28, 2020
Federal Court De-Fangs Merrill Lynch In Class Action Dismissal
April 27, 2020
[In]Securities Guest Blog: Life's for the Living by Aegis Frumento Esq
April 23, 2020
Guest Blog: Riddle of the FINRA Sphinx by Stephen Kohn
April 22, 2020
SEC Announces Two Whistleblower Awards But One Is A Redacted Puzzle
April 21, 2020
IRA Dispute Offers a Bleak House for Fidelity Stockbroker
April 20, 2020
Federal Courts Consider Disturbing FINRA Customer Arbitration Decision
April 17, 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
No Good Riddance from GFI In FINRA Good Leaver Arbitration
April 13, 2020
It Ain't Over Till It's Over As Martinovich Appeals Continue
April 10, 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
Whole Worker Sick-Out Was Half-Assed
April 3, 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
Federal Courts Reject FINRA Arbitrators' Manifest Disregard in Respondeat Superior Case
March 31, 2020
Federal Courts Okay FINRA Unexplained Arbitration Decision
March 30, 2020
Securities Industry Commentator by Bill Singer, Esq
March 27, 2020
[In]Securities Guest Blog: In Dreams by Aegis Frumento Esq
March 26, 2020
Court Says No Second Bite of FINRA Arbitration Apple
March 23, 2020
[In]Securities Guest Blog: Who's Zoomin' Who by Aegis Frumento Esq
March 19, 2020
The Pen Is Mightier Than The Sword But Don't Bring Either Into A FINRA Test Center
March 18, 2020
FINRA Fines and Suspends MML Rep Over Vacation Rental Property Investment
March 17, 2020
Citizens Securities Wins TRO in Non-Solicitation Federal Court Action
March 16, 2020
On The Beach in Hysteria Mode
March 13, 2020
[In]Securities Guest Blog: Not Going Back to My Old School by Aegis Frumento Esq
March 12, 2020
Thought And Preparation In Wall Street Plague Time
March 11, 2020
Not Enough Bull In Stairway to Heaven
March 10, 2020
It's The End of The World BrokeAndBroker.com Blog Edition
March 9, 2020
FINRA Arbitrators Award Damages To Customer But Offset With Award to Stockbroker
March 6, 2020
[In]Securities Guest Blog: The Fever by Aegis Frumento Esq
March 5, 2020
Bill Singer's Annual Warning: Disclose Your Tax Liens
March 4, 2020
FINRA Arbitrators Deny Success Fee Damages to Underwriter
March 2, 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
Hot Shoe Burnin' Down Wall Street In FINRA Morgan Stanley Panama Arbitration
February 27, 2020
Sexual Bondage, Videotapes, Divorce, Criminal Charges, Revenge Porn and FINRA
February 26, 2020
FINRA Fines And Suspends Rep Over Unauthorized Signatures on Self Directed IRA Transfers
February 25, 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
C'mon And Take A Free Ride. FINRA Arbitration Considers Failed Customer Payment
February 17, 2020
Securities Industry Commentator by Bill Singer
February 14, 2020
[In]Securities Guest Blog: A Political World by Aegis Frumento Esq
February 13, 2020
Securities Industry Commentator by Bill Singer
February 12, 2020
Down In the Dunes, Dealing With the Goons with SEC ALJ Foelak
February 11, 2020
The Saga of FINRA Versus Kimberly Springsteen-Abbott
February 10, 2020
Court Rejects Late Breaking Wisdom As Too Late in FINRA Arbitration Appeal
February 7, 2020
Guest Blog: The 10 Warning Signs of a Crypto Scam by Jesus Cedeno
February 6, 2020
Oppenheimer Wins FINRA Arbitration Award For Stabilization Compensation
February 4, 2020
FINRA Arbitrator Invokes Ineligibility Sua Sponte To Bar Expungement
February 3, 2020
FINRA AWC Cites Dubious Options Strategy In IRA Account
January 31, 2020
[In]Securities Guest Blog: Rolled Up and Smoked by Aegis Frumento Esq
January 30, 2020
The Widow, Her Stockbroker, and Her Loans and Gifts to Him
January 29, 2020
SEC Denies Stay of FINRA Expulsion Over Annual Audit Report
January 28, 2020
FINRA Arbitrator Says It's Too Late To Turn Back Now
January 27, 2020
Did a Federal Court Mistakenly Deem FINRA a Federal Prosecutor?
January 24, 2020
[In]Securities Guest Blog: Driving That ESOP Trolley by Aegis Frumento Esq
January 23, 2020
Prudential Wins Dismissal of Tortious Interference Claim
January 22, 2020
In Today's Securities Industry Commentator
January 21, 2020
FINRA Settles Case Involving What Looks Like A Felony But Isn't
January 17, 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
Ameriprise Didn't Know When To Fold In Terminally Ill Customer Case
January 14, 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
[In]Securities Guest Blog: Born to be Wild by Aegis Frumento Esq
January 9, 2020
Cause something is happening and you don't know what it is. Do you, FINRA?
January 8, 2020
Federal Court Troubled By FINRA Arbitration Chair's Non-Disclosure of Conflict
January 7, 2020
UPDATE: Court Confirms UBS Promissory Notes Arbitration Citing Delays And Doctor's Note
January 6, 2020
FINRA Needs To Better Coordinate Its Admonition of Statutory Disqualification
January 3, 2020
Raymond James Rep Can't Get No Non-Attorney Representative To Not Make No FINRA Arbitration Proffer
January 2, 2020
Fantasy Football Arrives To Wall Street and Freedom Is At Stake
December 30, 2019
FINRA Sanctions Stockbrokering Paper Pushing Lawyer
December 27, 2019
[In]Securities Guest Blog: And So This Is Christmas by Aegis Frumento Esq
December 24, 2019
Bank Fails To Disclose What It Should Have But Gets Credit For The Non Disclosure
December 23, 2019
Courts Rebuke FINRA and Public Customer Over Arbitration of Settled Dispute
December 20, 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
Customer Carries 31 Year Old Grudge Into Broker Expungement Case
December 11, 2019
Synapse Financial Technologies Sued For Harassment, Discrimination and Retaliation
December 10, 2019
Appellate Court Sustains Criminal Conviction in Schwab Restraining Order Dispute
December 9, 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
Fee Based Rep Seeks Expungement Over Commissions He Never Charged
December 4, 2019
GROWING SCANDAL ALERT: Italian Cheese Flying the False-Flag of France
December 3, 2019
FINRA Arbitrator Saves Innocent Stockbroker Caught In the Middle By Settled Customer Complaint
December 2, 2019
[In]Securities Guest Blog: Still a Wonderful World by Aegis Frumento Esq
November 27, 2019
What If A Much of a Which of a Wind Gives the Truth to a FINRA Arbitration Lie?
November 26, 2019
He Fought The Law And The Law Won . . .Tied . . . Lost?
November 25, 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
Federal Court Denies FINRA Arbitration of NY Life Racism Case
November 18, 2019
FINRA Addresses Light Bulb and Coffee Cake Abuses
November 15, 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
E Pur Si Mouve, Idioti! (Or So An SEC ALJ Should Mutter)
November 1, 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
Claimant's Attorney In ER, Claimant's Wife Gives Birth, but FINRA Arbitrators Won't Postpone Hearing
October 29, 2019
Oral Contract Propels Lynx Capital Into Trading Black Hole
October 28, 2019
SEC Says FINRA Doesn't Have To Sell Cheese At Its Arbitration Shop (or something like that)
October 25, 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
What's Olde Isn't Necessarily New in the Digital Age
October 22, 2019
Muni Rigor Mortis
October 21, 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
Texas Two-Step: 2 FINRA Arbitrations, 2 Texas State Courts, and 2 Texas Federal Courts
October 16, 2019
The Wall Street Simulacrum of Regulation (Now Online and in Video Format)
October 14, 2019
The Illogical Logic of FINRA's Willful Non-Disclosure of Tax Liens
October 11, 2019
[In]Securities Guest Blog: Money for Nothing by Aegis Frumento
October 10, 2019
Does Your Brokerage Contract Bite?
October 9, 2019
No Rationale and No Explanation In FINRA Arbitration Decision
October 8, 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
[In]Securities Guest Blog: Singin' the Varsity Blues, Part 2: Whose Intentions Are Good by Aegis Frumento
October 3, 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
FINRA Bars Rep Who Knew Someone
September 27, 2019
[In]Securities GUEST BLOG: Fantasy by Aegis Frumento Esq
September 26, 2019
FINRA Arbitrators Angered By Raymond James Tactics
September 25, 2019
Client Associate Takes 4 Years of Rep's CE
September 24, 2019
Federal Courts Affirm Forgiveness of Barclays Promissory Notes Repayment
September 23, 2019
Citigroup's Cryptic Cryptocurrency Case
September 20, 2019
[In]Securities GUEST BLOG: Hit the Road, Jack by Aegis Frumento Esq
September 19, 2019
A Brief Essentially Devoid of Any Legal Analysis or Citations
September 18, 2019
FINRA's JPM Omelet Ends With Egg On the Regulator's Face
September 17, 2019
FINRA Arbitrators Say Who Is On First. I Don't Care. I Don't Give A Darn
September 16, 2019
Perplexing FINRA AWC About the Likely Statutorily Disqualified Rep
September 13, 2019
[In]Securities GUEST BLOG: Not the One You Need by Aegis Frumento Esq
September 12, 2019
Old CUSIP. New CUSIP. And a Customer Sues TD Ameritrade
September 11, 2019
Court Allows Wells Fargo Stockbroker to Contact Former But Not Current Clients
September 10, 2019
Oops I Did It Again Is No Defense In Second FINRA AWC
September 9, 2019
FINRA Bars NYLIFE Rep Over Debit Card Expenses
September 6, 2019
[In]Securities GUEST BLOG: Walk Like a Man by Aegis Frumento, Esq
September 5, 2019
FINRA AWC Cites Prospective Customer, Possible Investor, and Proposal
September 4, 2019
Rocky Enters Texas Ring Over Fee-For-Advice Dispute
September 3, 2019
FINRA Arbitrators Order Stockbroker to Disgorge Future Bonuses to Ameriprise
August 30, 2019
Morgan Stanley Marks Up Stockbroker's Record Over Annuity Complaint by Customer's Nephew
August 29, 2019
FINRA Bars Stockbroker After RBC Makes $1 Million Pricing Error
August 28, 2019
Court Says Morgan Stanley Employee Failed to Opt Out of Arbitration Clause
August 27, 2019
UPDATE: SEC Sustains Saad Sanction Saga
August 26, 2019
The FINRA Dissident Community: A History
August 23, 2019
Day Tripper Barred by FINRA For Bogus Travel Reimbursements
August 22, 2019
FINRA Puts Lime Brokerage in the Self-Regulatory Coconut
August 21, 2019
Reps File FINRA Arbitration Against Former Employer Over Failed Transition
August 19, 2019
Wide Open Arbitration Slam Dunks for Two FINRA Firms. One Scores. One Clangs
August 15, 2019
Federal Court Grapples With Compliance Officer's Whistleblowing to FINRA
August 14, 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
District Court Denied Morgan Stanley Injunction In Non Solicitation Case
August 9, 2019
Barclays' Bank Shot Caroms Into Federal Court Reprimand
August 8, 2019
Customer Chat with Schwab Chat Representative Prompts FINRA Arbitration
August 7, 2019
FINRA Arbitrators Get Wright Wrong In BB&T Defamation Expungement
August 6, 2019
FINRA's Hearing Officers Are 70% Former FINRA and 30% Former SEC
August 2, 2019
GUEST BLOG: FINRA Hearing Process . . .BIAS . . . Real or Perceived???
August 1, 2019
Anonymous Tip to FINRA's Securities Helpline for Seniors Gets Stockbroker Barred
July 31, 2019
If It Wasn't For Bad Luck, I Would Not Have No Luck At All in FINRA Arbitration
July 30, 2019
GUEST BLOG: Sittin' On the Dock by Aegis J. Frumento Esq
July 25, 2019
Trading After Death
July 24, 2019
SEC Task Force to Host Roundtable On Elder Fraud (Coffee and Danish Will Be Served, Maybe)
July 23, 2019
Another Small Fish Fry on Wall Street Reeks of FINRA Insincerity
July 22, 2019
GUEST BLOG: What Can We Do To Increase Diversity? by Linde Murphy
July 19, 2019
GUEST BLOG: Standing on the Moon by Aegis Frumento Esq
July 18, 2019
Morgan Stanley Hit with $3 Million FINRA Discovery Sanction
July 17, 2019
FINRA Fines and Suspends Rep for Unauthorized Transfer of 270 Customers' Info
July 16, 2019
FINRA Issues An Extraordinary and Cynical Release
July 12, 2019
GUEST BLOG: Hester's Scarlet Begonias by Aegis Frumento Esq
July 11, 2019
Customer's Wife Rescues Former Edward Jones Broker In Expungement Case
July 10, 2019
Former LPL Stockbroker Suspended and Fined For Customer Borrowing
July 9, 2019
Some BS from FINRA in Small Firm AWC
July 8, 2019
Sultans of Swing. Ukuleles. Brazilians. Nothing Else to Post for July 5th
July 5, 2019
GUEST BLOG: Pursuing America by Aegis Frumento Esq
July 3, 2019
Former USAA Financial Employees Win Nearly $2 Million in Wrongful Termination Case
July 2, 2019
This Is Not A Pipe. This Is Not A Final, Appealable Order
July 1, 2019
FINRA Foundation To Empower the Underserved But Batteries Not Included
June 28, 2019
GUEST BLOG: The Great Pretender by Aegis Frumento Esq
June 27, 2019
The Wife, The Husband, The Divorce, Edward Jones, The Stockbroker, and The Messy FINRA Arbitration
June 26, 2019
Court of Appeal Vacates Morgan Stanley Elder Abuse Award in Troubling FINRA Arbitration
June 25, 2019
Wells Fargo Banker and Broker Loses Humpty Dumpty FINRA Arbitration
June 24, 2019
Pro Se Public Customer and Pro Se Stockbroker Did It Their Way In FINRA Arbitration
June 21, 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
The Inmate Stockbroker with 51 Disclosures on BrokerCheck
June 18, 2019
2019 FINRA Board of Governors Election
June 17, 2019
UBS Stockbroker Seeks Expungement of ARS Claim That Firm Says Wasn't Made
June 14, 2019
GUEST BLOG: Hero Takes a Fall by Aegis Frumento Esq
June 13, 2019
Comerica Securities Tells Suing Customers It Ain't Me, Babe
June 12, 2019
FINRA Arbitrator Denies Expungement For Legally Meritless Customer Complaints
June 11, 2019
The Customer Email Order, the Lunchtime Resignation, and The Angry Morgan Keegan Stockbroker
June 10, 2019
Courts Tell Divorced Stockbroker to Try A Little Bit Harder
June 7, 2019
GUEST BLOG: Being Evil by Aegis Frumento Esq
June 6, 2019
Courts Affirm FINRA Award Via Virtual Naming of John Does In Customer Arbitration
June 5, 2019
SEC Acts In the Public Interest And Renders $3 Million Whistleblower Award
June 4, 2019
Wells Fargo Found Guilty of Defaming Stockbroker for Storing Customer Property
June 3, 2019
Another Day. Another FINRA Regulatory Settlement. Another Case Involving Who Owns the Customer
May 31, 2019
GUEST BLOG: Earning It, For Our Brothers In Arms by Aegis Frumento, Esq
May 30, 2019
The Hysterical and Yelling Customer, The Market Crash, and A FINRA Expungement
May 29, 2019
Not His Trade. Not His Fault. But Stockbroker Still Forced Into FINRA Expungement Arbitration
May 28, 2019
Merrill Lynch Wins Motion to Dismiss Stale Customer Claims -- But Barely
May 24, 2019
GUEST BLOG: FINRA Chokes on a Smoking Ear by Aegis Frumento Esq
May 23, 2019
Something's Happening With A Discrimination Case But You Don't Know What It Is, Do You Mr. Jones?
May 22, 2019
Fancy Colored Diamonds, Ponzi Cryptocurrency Biz, and A Whole Lot of Victims
May 21, 2019
Member Firm Refuses to Produce Settlement Agreement in FINRA Expungement Arbitration
May 20, 2019
Opioid Addiction on Wall Street: A Wells Fargo Employee Is Barred
May 17, 2019
GUEST BLOG: . . . and I Feel Fine by Aegis Frumento Esq
May 16, 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
FINRA Arbitrators Slam JP Morgan Over Defamatory Termination
May 13, 2019
5 OBAs, 2 PSTs, $15,000 Fine and 10 Month Suspension in 1 FINRA AWC
May 10, 2019
GUEST BLOG: The Game of Coins by Aegis Frumento Esq
May 9, 2019
Seller's Remorse Upends Investment Firm Sale In FINRA Arbitration
May 8, 2019
FINRA Censures and Fines Firm Over Supervision of Watch and Restricted Lists
May 6, 2019
Bottle of White, Bottle of Red, Perhaps An Assisted Living Bond Instead at FINRA Arbitration
May 3, 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
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
Many Rivers to Cross But Stockbroker Just Can't Find His Way Over FINRA
April 26, 2019
GUEST BLOG: Overlooking Maple Street by Aegis Frumento Esq
April 25, 2019
All Voya FINRA AWCs are Not Relevant Except When They Are
April 24, 2019
FINRA Arbitrators Dismiss Customer Claims Involving Stanford International Bank CDs
April 23, 2019
Was Felon A Frequent Flyer or Flight Risk?
April 22, 2019
Musta Been Somethin'
April 19, 2019
GUEST Blog: The Strangled Cries of Lawyers in Love by Aegis Frumento Esq
April 18, 2019
UBS Wins EFL Arbitration On Wall Street With No Name
April 17, 2019
Sonny Corleone At the Toll Booth: A Study of a FINRA Email Review Settlement
April 16, 2019
Morgan Stanley Supervisor Goofs But Stockbroker Pays the Price
April 15, 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
Court Suspends Former NYSE Arbitration Counsel and FINRA Arbitrator
April 10, 2019
Death Craps Out With Viatical Settlement Dice
April 9, 2019
FINRA Notice To Members 19-10 Should Have Said What It Meant
April 8, 2019
GUEST BLOG: Lorenzo's Oil Slick by Aegis Frumento Esq
April 4, 2019
FINRA Fines and Suspends Rep for Emailing Confidential Info Of 1,696 Plan Participants
April 3, 2019
FINRA Arbitration Asks If Conservative Strategy Was Too Conservative
April 2, 2019
Ex-Husband Says Ex-Wife and Stockbroker Looted Insurance Proceeds From Joint Account
April 1, 2019
UBS Wins Promissory Notes Arbitration After Four Delays And A Doctor's Note
March 29, 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
Sterne Agee Wins Partial Subrogation In FINRA Customer Arbitration
March 27, 2019
Former Vanguard Employee Terminated For "Work Avoidance" Fails To Show At His Expungement Hearing
March 26, 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
GUEST BLOG: Singin' the Varsity Blues: Leave Them Kids Alone by Aegis Frumento Esq
March 21, 2019
FINRA Suspends CEO and CCO Over Failed Supervision of Exotic ETFs
March 20, 2019
SEC Prays for Relief in Complaint Against the Church for the Healthy Self
March 19, 2019
Merrill Lynch Wins A Round Against Former Employees in FINRA Arbitration
March 18, 2019
Good Intentions Pave Merrill Lynch Stockbroker's Retirement Highway to Hell
March 15, 2019
GUEST BLOG: OneCoin's Whorl of Woe by Aegis Frumento Esq
March 14, 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
Morgan Stanley Female Rep Survives Former Advisor Program Arbitration
March 11, 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
Pro Se Stockbroker Wins FINRA Expungement of Merrill Lynch Settled Customer Complaint
March 6, 2019
FINRA Arbitrators Award Ameriprise Promissory Note Damages But With Odd Statement About What Was Not Considered
March 5, 2019
Wells Fargo Promissory Note Victory Goes From FINRA Sublime to SEC Ridiculous
March 4, 2019
Stockbroker Only One Call Away From FINRA Fine and Suspension
March 1, 2019
GUEST BLOG: Weird Apple Pickings by Aegis Frumento Esq
February 28, 2019
FINRA Arbitration Costs National Securities In Promissory Note Case
February 27, 2019
FINRA Regulatory Settlement About Vulnerable Individual Raises Troubling Questions
February 26, 2019
Charles Schwab Sues Customers Over XIV Debit Balance
February 25, 2019
FINRA Arbitrators Award Over $569,000 In Damages For In And Out Transfers
February 22, 2019
GUEST BLOG: That River of Dreams by Aegis Frumento Esq
February 21, 2019
Outside Business Activities and Away Account Cost Stockbroker $7,500 and Four Months on the Bench
February 20, 2019
Stockbroker Infallibility Too High A Bar Says FINRA Arbitrator
February 15, 2019
GUEST BLOG: To Hold and Have Not by Aegis Frumento Esq
February 14, 2019
Lord Voldemort, Bank of America, Merrill Lynch, FINRA, And Childcare Expenses
February 13, 2019
Former National Securities Corp President/CEO Sues Firm In FINRA Expungement Case
February 12, 2019
Merrill Lynch Stockbroker Crashes And Burns Over Class B Shares Limits
February 11, 2019
Sexism on Wall Street: New Chapter, Same Book
February 8, 2019
GUEST BLOG: Gods Help Us, Every One by Aegis Frumento Esq
February 7, 2019
The Errors on the Whited-Out Variable Annuity Form and FINRA's Fine and Suspension of a Supervisor
February 6, 2019
Abandoned Car Wreck of Public Customer FINRA Arbitration
February 5, 2019
Premature Withdrawal Ends In $445,000 Award Against Wells Fargo Rep
February 4, 2019
Debating the Riddle Wrapped In An Enigma of FINRA Intra-Industry Arbitration
February 1, 2019
GUEST BLOG: The Hard Fork in DAO Road by Aegis Frumento Esq
January 31, 2019
Financial Elder Abuse Claims Against Morgan Stanley Die A Tortured Death
January 30, 2019
Unsettled Settlement of Managed Account Goof Prompts FINRA Expungement
January 29, 2019
Innocent Stockbroker Lost in Never-Neverland Wins FINRA Expungement
January 28, 2019
BREAKING NEWS: Roger Stone Jr. Indicted on Obstruction, False Statements, and Witness Tampering
January 25, 2019
GUEST BLOG: Who Run the World? by Aegis Frumento Esq
January 24, 2019
Legal, Regulatory, and Compliance Feed For Wall Street Professionals and Serious Investors
January 23, 2019
Expungement Ten Years in the Making For Merrill Lynch Stockbroker
January 22, 2019
State of the Union: Clowns to the Left, Jokers to the Right
January 18, 2019
GUEST BLOG: The SEC's Gagging Rights by Aegis Frumento Esq
January 17, 2019
Man Bites Dog. Stockbroker Sues Customer. Dog and Customer Bite Back
January 16, 2019
Federal Court Says Former Raymond James Employee Was On Notice of FINRA Arbitration
January 14, 2019
Hot Nepal Real Estate Market Burns Stockbroker With FINRA Fine and Suspension
January 11, 2019
GUEST BLOG: Tucker Carlson, AOC, and the 70% Tax Rate by Aegis Frumento Esq
January 10, 2019
Oppenheimer TKO'd by Stunning Stockbroker Offset in FINRA EFL Arbitration
January 9, 2019
The Preemptive EFL Gambit Starts Anew On 2019 FINRA Arbitration Chessboard
January 8, 2019
OPEN CALL for Guest Bloggers for the BrokeAndBroker.com Blog
January 7, 2019
Unstrained Mercy Gently Rains Down After FINRA Bar
January 4, 2019
GUEST BLOG: Bitcoin is Not Blockchain's Best Use Case by Aegis Frumento Esq
January 3, 2019
Ir-Rationale FINRA Merrill Lynch EFL Arbitration Decision Cited by Tax Court
December 31, 2018
Morgan Stanley and Wells Fargo Tackled for Big Loss in $7.7 million FINRA Arbitration
December 28, 2018
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: This Christmastide by Aegis Frumento Esq
December 24, 2018
Wells Fargo Customer Left Town But Was In the Parking Lot But Wasn't, Sent Letter But Didn't, and Made Phone Call But Hadn't
December 21, 2018
GUEST BLOG: Dishonorable Services by Aegis Frumento Esq
December 20, 2018
E*Trade Loses Shocking FINRA Margin Call Arbitration
December 19, 2018
Hymn for the Missing FINRA Public Customer Claimant
December 18, 2018
Pro Se Public Customer Walks Out Of FINRA Arbitration Hearing Room
December 17, 2018
GUEST BLOG: Beta Blockers by Aegis Frumento Esq
December 13, 2018
The Failure of Wall Street Compliance and Regulation: A Case In Point
December 12, 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
The Complaining Customer Is Dead, The File Is Lost, But A Stockbroker Battles On for Expungement
December 7, 2018
GUEST BLOG: Blaming Nobody by Aegis Frumento Esq
December 6, 2018
The Wife, The Husband Stockbroker, The Divorce, The Wife's Complaint, and a FINRA Expungement Arbitration
December 5, 2018
Former First Republic Securities Employee Wins $1.1 Million FINRA Arbitration Award
December 4, 2018
Two Deceased Customers,Their Stockbroker, A POA, A TOD Account, And a Bar
December 3, 2018
Stockbroker Plays Hide And Seek With FINRA
November 30, 2018
GUEST BLOG:The SEC Plucks a Chicken by Aegis Frumento Esq
November 29, 2018
Unsplit Commission Split Splits Two Registered Reps
November 28, 2018
Son Calls FINRA Senior Helpline About Trading In Mom's Account
November 27, 2018
FINRA Arbitrator Sanctions No-Show Public Customer Lawyer
November 26, 2018
GUEST BLOG: Giving Thanks by Aegis Frumento Esq
November 22, 2018
Getting Stoned Takes On New Meaning Plus Bonus Grandparent Alert
November 21, 2018
Stockbroker Wins Expungements of Decade Old Customer Complaints
November 20, 2018
Competitively Different Cambridge Loses Culturally Unique FINRA Block Trade Arbitration
November 19, 2018
Stockbroker Victimized By Mother In Law Complaint About Stolen Funds
November 16, 2018
GUEST BLOG: Pragmatic Federalism In a Blockchained World by Aegis Frumento Esq
November 15, 2018
Legend-ary FINRA Public Customer Arbitration
November 14, 2018
FINRA Bars Analyst For Biting Off More Than She Could Chew
November 13, 2018
Stockbroker Told to Provide Personal Email Account Password to Employer
November 12, 2018
In Memoriam: 12 Dead at Thousand Oaks, California
November 9, 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
Customer Withdrawals and Vacations At Heart of Stockbroker Expungement
November 6, 2018
Sole Beneficary Grandnephew Sues Morgan Stanley Questioning Mom's Capabilities
November 5, 2018
Gregor Samsa Awakes As A FINRA Unnamed Party
November 2, 2018
GUEST BLOG: Here Be Dragons by Aegis Frumento Esq
November 1, 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
In Memoriam: 11 Dead In Shooting at Pittsburgh Synagogue
October 29, 2018
UBS Wins FINRA Mandatory Arbitration Appeal
October 26, 2018
GUEST BLOG: The Soft-Headed Side of Sears by Aegis Frumento Esq
October 25, 2018
GUEST BLOG: FINRA Dictator of Dispute Resolution by Dochtor Kennedy, Esq
October 24, 2018
The Widow, Her Stockbroker Brothers In Law, The Estate, and Delay
October 23, 2018
Ameritas Stockbroker Wins Snowball In Hell Expungement
October 22, 2018
Psst . . . Here's a $10,000 Settlement Check But Don't Cash It
October 19, 2018
GUEST BLOG: The Million Dollar Bottle by Aegis Frumento Esq
October 18, 2018
State Farm Stockbroker, His Relative, a Faked Insurance Policy, Travel Perks, Job Loss, and FINRA
October 17, 2018
Stuck Inside Of Mobile with the Holiday Inn Blues Again
October 16, 2018
Don't Speak: The New Motto of Wall Street Compliance and Regulation
October 15, 2018
Customer Seeks $2 Million In Puerto Rico Bond Arbitration
October 12, 2018
GUEST BLOG: The Invisibly Vulnerable Pre-Retirees by Aegis Frumento
October 11, 2018
Morgan Stanley Customer Sues Over Forced Stop Loss
October 10, 2018
10 Years After, World Is Changed For Ameriprise Stockbroker In FINRA Expungement
October 9, 2018
Live from Columbus's Fourth Ship, the Pina Colada: Bill Singer Esq Reports on Wall Street
October 8, 2018
The Stockbroker, His Wife, 3 Customers, 3 Healthcare Proxies, 1 Trust, and 1 IRA
October 5, 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
Merrill Lynch Rep Wins Expungement of Decade Old Customer Complaint
October 2, 2018
LPL Stockbroker Wins FINRA Expungement Despite Six Figure Customer Settlement
October 1, 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
Stockbroker Pays Undisclosed Customer Settlement But It All Explodes Anyway
September 26, 2018
11th Circuit Rejects Mandatory FINRA Arbitration By Customers
September 25, 2018
Public Customer, Brokers, and Brokerage Firm Spit Nails, Eat Lightning, and Crap Thunder
September 24, 2018
UPDATE: 11Cir Sustains SEC and FINRA On Willful Failure to Disclose Tax Liens
September 21, 2018
FINRA Arbitrator Tells Customers Suing Citigroup That It's Too Late Baby
September 20, 2018
The Securities Industry Commentator, a daily Wall Street legal, regulatory, and compliance feed
September 19, 2018
GUEST BLOG: A Tale of Two Tables by Aegis J. Frumento Esq
September 18, 2018
SEC Severely Reduces Whistleblower Award for Unreasonable Filing Delay
September 17, 2018
Deutsche Bank Securities Hit With $2 Million Award in FINRA Expungement Case
September 14, 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
Stockbroker An Unintended Bystander Victim In Drive-By Customer Complaint
September 10, 2018
Oops I Did It Again, Again in FINRA Public Customer Arbitration
September 7, 2018
GUEST BLOG: Labor's Belabored Day by Aegis Frumento Esq
September 6, 2018
FINRA Arbitrators Admit FINRA SEC Regulatory Settlements In UBS Puerto Rico Case
September 4, 2018
OPEN CALL: Guest Bloggers Wanted for the BrokeAndBroker.com Blog
September 3, 2018
Justify Ownership in Deal Genuine For $5.7 Million Abandoned Funds
August 31, 2018
GUEST BLOG: Twits or Tweeters by Aegis Frumento
August 30, 2018
Two Friends, Their Option Deal, A Stockbroker, His Restaurant, UBS, and FINRA
August 29, 2018
Date of Birth on Driver License Crashes Stockbroker Career
August 28, 2018
Ya Hear The One About The Stockbroker Who Listened to Idiots and Never Got His Record Expunged?
August 27, 2018
Nietzsche, BeeGees, Kierkegaard, Syndergaard, and Jive Talkin' On Wall Street
August 24, 2018
GUEST BLOG: Of Trust, Lattes and Blockchains by Aegis Frumento Esq
August 23, 2018
GUEST BLOG: Big Changes Coming for Small Firms by John Busacca
August 22, 2018
Disparaging a FINRA Disparagement Arbitration
August 21, 2018
Chancery Court Denies TRO After Alleged Defamation to SEC and FINRA
August 20, 2018
$5 Million Awarded In FINRA Customer Arbitration. Now Let's Beat the Dead Horse
August 17, 2018
GUEST BLOG: A Trillion Reasons By Aegis J. Frumento, Esq.
August 16, 2018
Open Letter to FINRA CEO Robert Cook, Chair Bill Heyman, and Board of Governors
August 15, 2018
Breathtaking Dissent In Industry Arbitration Asks Court To Sanction FINRA
August 14, 2018
10 Year Employee Forgivable Loan Battle Frustrates UBS
August 13, 2018
Mean Spirited FINRA Must Respect Membership Median
August 10, 2018
Where There's A Will, FINRA Says No Way!
August 9, 2018
The Greek Yogurt Justice of Strained FINRA Mercy
August 8, 2018
GUEST BLOG: Securities Fraud? Or Just Bullshit? by Aegis Frumento, Esq
August 7, 2018
AAA Arbitrator Disclosures Upend JPMorgan Chase Bank Employment Lawsuit
August 6, 2018
You Owe Me! A Referral Fee FINRA Arbitration Battle
August 3, 2018
GUEST BLOG: That Long Strange Trip from SunTrust to Wells Fargo by Aegis Frumento Esq
August 2, 2018
Memory Sinks Customer In CD and CMO FINRA Arbitration
August 1, 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
Magic Moments Dazzle In Legend-ary FINRA Customer Arbitration
July 27, 2018
FINRA Arbitrators Award Commission to Associated Person For Raising Capital for Customer
July 26, 2018
FINRA Arbitrators Slam Wells Fargo With $8.5 Million Puerto Rico Bond Award
July 25, 2018
FINRA Arbitrator Pens Expungement Decision Perfection
July 24, 2018
UPDATE:Non-Attorney Representatives Involved In FINRA Arbitration Blight
July 23, 2018
Morgan Stanley Customer Sues Over Dormant Account Charges
July 20, 2018
Morgan Stanley Broker Fined and Suspended For NSF Wires Into His Personal Account
July 19, 2018
UPDATE: SEC Vacates PCAOB Action in Laccetti and Cancels Sanctions
July 18, 2018
87 Year Old Stifel Nicolaus Customer, His Stockbroker, and 33 Blank Account Checks
July 17, 2018
Crowdfunding Portal StartEngine Loses Customer Arbitration
July 16, 2018
5% Solution In FINRA Expungement Arbitration
July 13, 2018
Cut, Pasted, Traced, Signed, Sealed, Delivered . . . and Suspended by FINRA
July 12, 2018
Travelin' Man Comes To End of Wall Street Line
July 11, 2018
Stockbrokers Victimized by Customer Imposter and FINRA Fees and Charges
July 10, 2018
Morgan Stanley Broker Wins Expungement After Firm Settled With Customer
July 9, 2018
Mentoring Wall Street Professionals About Determination and Persistence
July 6, 2018
SEC Seeks to Reform Its Whistleblower Process
July 3, 2018
Customer and Brokerage Firm Agree: I Wuz Robbed!
July 1, 2018
Somebody's Got To Pay And FINRA Arbitrator Says It's Scottrade
June 29, 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
The Deceased Father, Claimant Mother, Daughter, Son In Law Stockbroker, and a Kickboxing Investment
June 26, 2018
Variable Annuities And Wall Street's Jurassic World
June 25, 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
Is FINRA Sleepwalking Through Member Firm Examinations?
June 20, 2018
Becoming Yourself on Wall Street: Josh Brown and Alexander Palumbo
June 19, 2018
Power Play Short Circuits Broker's Career
June 18, 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
BREAKING NEWS: USA v. AT&T Merger Opinion ONLINE
June 12, 2018
GUEST BLOG: R.I.P. PCAOB Audits by Stephen Kohn
June 12, 2018
FINRA Suspends Stockbroker For Reimbursing Customer Options Losses
June 11, 2018
SEC ALJ Denies Disqualification of Wedbush Lawyer
June 8, 2018
Wall Street Career Cashed Out Over Identity Theft and Gift Cards
June 7, 2018
The Imposter, The Signature, The Unregistered Associate, and a FINRA Bar
June 6, 2018
GrandFund in a FINRA Grand Funk
June 5, 2018
2 Lies to FINRA Add Up to 1 Bar
June 4, 2018
Feuding Stockbrokers Set Stage for Expungement of Cookie Cutter Customer Complaints
June 1, 2018
FINRA Settles UIT and Instant Messaging Case
May 31, 2018
Ameriprise Rep Barred for Unauthorized Mutual Fund Trades
May 30, 2018
FINRA Fines And Suspends Merrill Lynch Rep for Check Kiting
May 29, 2018
As the FINRA WORM Turns
May 25, 2018
Busted Out Credit Cards Bust Defendants
May 24, 2018
Batting 500 In FINRA Expungement
May 23, 2018
Arbitration Mistake Becomes a FINRA Moneymaker
May 22, 2018
Post Mortem Auto-Pilot Trading Sends Stockbroker's Career Into Head-On Regulatory Crash
May 21, 2018
FINRA Stretches Definition of Participating in a Private Securities Transaction
May 18, 2018
The Disqualified Stalking Felon Stockbroker, The Texting Stockbroker, The Missouri Waltz, and FINRA
May 17, 2018
Colorado Court Shuts Down FINRA Over Expungement Confirmation
May 16, 2018
No Show No Way No How Public Customer FINRA Arbitration
May 15, 2018
FINRA Arbitrator Recommends Multiple Expungements for Veteran Stockbroker
May 14, 2018
Was That Stockbroker's Customer Blowing Steam Or Making a Complaint?
May 11, 2018
The Gambling Stockbroker, His Elderly Customers, and Their Loans to Him
May 10, 2018
Money For Nothing Leaves Stockbroker in Dire Straits With FINRA
May 9, 2018
FINRA Orders Partial Restitution in Activity Letter Settlement
May 8, 2018
Sharemaster the Beastmaster Tames FINRA and SEC in PCAOB Dispute
May 7, 2018
FINRA Hardship Waiver Hard To Find
May 4, 2018
Pro Se Employee Eviscerated in FINRA Employment Expungement Arbitration
May 3, 2018
Solicited System Snafu Stiffs Settling Stifel Stockbroker
May 2, 2018
UPDATE: Medical Marijuana Biz Goes Up In SEC Smoke
May 1, 2018
Financialindustryregulatory Arthur-Iddy's BrokenCzech Tool
April 30, 2018
FINRA Arbitrators Say Wells Fargo Bank Breached Duty of Customer Care
April 27, 2018
You Hear The One About The FINRA Arbitration Involving The Stockbroker With 36 BrokerCheck Disclosures?
April 26, 2018
Former Ameriprise Rep Wins Split Decision In FINRA Arbitration
April 25, 2018
FINRA Arbitrators Dissolve RIA / BD Lacking Operating Agreement
April 24, 2018
FINRA Bogarts the Weed In Medical Marijuana Settlement
April 20, 2018
Pyrrhus, Battle of Asculum, a Stockbroker, FINRA, and a Pyrrhic Expungement Victory
April 19, 2018
Of Bullet Fees and In House Counsel Fees In FINRA Employment Arbitration
April 18, 2018
My Way Rules In Pro Se Expungement Case Against J.P. Morgan
April 17, 2018
Rashomon Plays Out In Merrill Lynch Discretionary Case
April 16, 2018
Drinking, Driving, Felonies, and a Wall Street Regulatory Head-On Collision
April 12, 2018
Oppenheimer and Euro Pacific Duke It Out In $35 Million Unfair Competition Arbitration
April 11, 2018
LPL, RR, BD, IRS, U5, FINRA, and AWC
April 10, 2018
Setting the Record Straight by Bill Singer, Esq.
April 9, 2018
Crash and Burn Upon Entry Into Wall Street
April 6, 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
Federal Courts Wrestle With Opening Doors To US Courthouse to KOSPI Class Action
April 2, 2018
Wells Fargo Whistleblower Yesenia Guitron Wins James Madison Freedom of Information Award
March 30, 2018
FINRA Arbitration Panel Divines Intent of Deceased In Dividing Account Assets
March 29, 2018
Body and Estate and Soul and a Counterfeiter and a Murderer and Merrill Lynch
March 28, 2018
Perennially Hopeless Battle On In JP Morgan FINRA Arbitration
March 27, 2018
FINRA Humiliated In Federal Court Arbitration Appeal
March 26, 2018
Merrill Lynch Wins Puerto Rico Bond Arbitration Via Counterclaim
March 23, 2018
2 Wrongs Don't Add Up To 1 Right In FINRA Regulatory Settlement
March 22, 2018
Branch Office Agreement At Heart of Industry Arbitration
March 21, 2018
BREAKING NEWS: Supreme Court Says State Courts May Hear Securities Class Actions
March 20, 2018
FINRA Arbitrators Deem CRD / U5 Disclosures Defamatory
March 19, 2018
Merrill Lynch Employee and AllianceBernstein Work It Out In Unfair Competition Dispute
March 16, 2018
UPDATE: Stockbroker Barred For Abusive Conduct Deemed Threat to Public and Industry
March 15, 2018
No Winners In FINRA Customer Arbitration
March 14, 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
Wells Fargo Unpaid Overtime Class Action Gets Second Circuit Nod for AAA Arbitration
March 9, 2018
CCO Fined and Suspended For Amending Her Own U5
March 8, 2018
Bill Singer Esq Comments on FINRA Notice To Members 18-08: Outside Business Activities
March 7, 2018
In the Year 2525 If FINRA Arbitration Is Still Alive
March 6, 2018
Citi Hit With Over $4 Million Award In Wrongful Termination Arbitration
March 5, 2018
Bubitotious Infectosis, FINRA Exams, and Loaded Dice
March 2, 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
Wells Fargo Sustains Stunning Promissory Note Loss
February 26, 2018
Scottrade Customer Margin Case Tossed During Discovery
February 23, 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
Pro Se Former Nationwide Employee Wins $1 And CRD Expungement
February 20, 2018
30 Months Of Violations Under FINRA's Nose
February 16, 2018
Days Late and Dollars Short For Former Oppenheimer Employee
February 14, 2018
Gonna Take My Arbitration Problem to the United Nations
February 13, 2018
Emergency Surgery Fails To Remove Margin Call
February 12, 2018
Sterne Agee Broker's IPO Trading In Away Account Earns FINRA Sanctions
February 9, 2018
Rankles Raised In FINRA Expungement
February 8, 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
Historic Federal Reserve Restrictions on Wells Fargo
February 5, 2018
FINRA Stuffs Stifel's Trading Ahead Exemptions
February 2, 2018
Ameriprise and Former Rep Battle It Out Over EFL and Defamation
February 1, 2018
Epic Rant About A Tepid FINRA Regulatory Settlement
January 31, 2018
Defined Benefit Pension Plan Dispute Taxes Stockbrokers and Brokerage Firms
January 30, 2018
The SEC, The Federal Inmate, And The Florida Bar Advice
January 29, 2018
FINRA Fines Firm Over Research Reports Practices
January 26, 2018
Abuse And Harassment On Wall Street
January 25, 2018
Stockbroker Expunges 7 Year Old UBS Customer Suitability Complaint
January 24, 2018
FINRA Arbitrators See No UBS, Citigroup, or Merrill Customers And Dismiss Case
January 23, 2018
FINRA Sanctions Charitable Remainder Trust Pitch
January 22, 2018
UBS Complex Director Wins Margin Call Battle
January 19, 2018
FINRA Firm Sues for $5.6 Million in Unfair Competition Arbitration
January 18, 2018
FINRA Fines Firm When Unregistered Principal Acted Presidential
January 17, 2018
FINRA Dispute Hangs Out As SEC Unzips Zipper Appeal
January 16, 2018
A Hard Rainmaker Gonna Fall At FINRA
January 12, 2018
FINRA Arbitrators Award $140,000 In Employee Defamation Case
January 11, 2018
I Can't See Clearly Now In Morgan Stanley FINRA Arbitration
January 10, 2018
Rep Emails Self 1,300 Account Numbers And FINRA Comes A Knockin'
January 9, 2018
Who Owns The Customer? Open Letter to FINRA Board from Bill Singer Esq
January 8, 2018
FINRA's $10,000 Expungement Price-Tag To Clear A Victim's Name
January 5, 2018
Public Customer Rebuked In Two FINRA Arbitrations
January 4, 2018
Class A Mutual Fund Front-End and FINRA Back-End
January 3, 2018
FINRA Horse With No Name Named
January 2, 2018
FINRA Arbitrator Recommends Expungement of Three Customer Complaints
December 29, 2017
FINRA Wrestles With No Debt False Statement Versus Untrue One
December 28, 2017
FINRA Expungement Arbitration Shows Failed System
December 27, 2017
The Dead Father, Feuding Kids, Stockbroker In The Middle, and the Lawsuit
December 26, 2017
Has FINRA Just Threatened To Shut Down Wall Street's Fantasy Leagues and Office Sports Pools?
December 22, 2017
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
Victim Blamed For Victimizing Victimizers in ATM Federal Appeal
December 18, 2017
U Can't Touch This PERFECT FINRA Suitability Arbitration Decision
December 15, 2017
The FINRA Gestalt
December 14, 2017
FINRA Arbitrator Holds Public Customer Claimant In Contempt
December 13, 2017
Season's Greetings From FINRA. You're Fined and Suspended. Ho, ho, ho.
December 12, 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
Feds Halt Seinfeld Bottle Deposit Scam
December 6, 2017
Stockbrokers Succession Plan Grapples With Mine, Ours, and Yours
December 5, 2017
Bleak Marshall Family Drama Hits FINRA Arbitration
December 4, 2017
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
December 2, 2017
Not Fade Away Tops FINRA Regulatory Chart
December 1, 2017
FINRA Arbitrator Gets By With A Little Help of A Friend
November 30, 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
FINRA Suitability Settlement Involves Five Elderly Retired Morgan Stanley Customers
November 27, 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
CEO CCO FINOP Fined And Suspended Over Classification of Personal Expenses
November 20, 2017
Clever Stipulation In FINRA Expungement Arbitration
November 17, 2017
Voluntary Resignation, Diversion of Customer Funds, and FINRA Bar
November 16, 2017
Humpty Dumpty, FINRA, Sharing, Guarantee, and Losses
November 15, 2017
Merrill Lynch Employee Fined and Suspended for Business Meals by FINRA
November 14, 2017
California Denies Expungement of NASD and Ohio Regulatory Disclosures
November 13, 2017
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
November 11, 2017
97 Year Old Client Names Stockbroker Executor and Beneficiary
November 10, 2017
Five Not So Easy Thought Pieces About Pro Se FINRA Arbitration
November 9, 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
Was That Customer Email a Discussion, Grievance, or Complaint?
November 2, 2017
FINRA Settlement Is A Matter of Time And Price
October 31, 2017
$3 Million Awarded In UBS FINRA Employment Dispute
October 30, 2017
FINRA Hides The Name of An Affiliated Bank
October 27, 2017
Delayed Resignation,Twitter,and Email Get Stockbroker Fined and Suspended
October 26, 2017
Charity Begins At Work For Suspended Registered Rep
October 24, 2017
Too Many Questions In Edward Jones TOD Account FINRA Arbitration
October 24, 2017
FINRA Suitability Rule and the Unsophisticated Investor
October 23, 2017
Absurd Unexplained Public Customer FINRA Arbitration Decision
October 20, 2017
Brokerage Customer Says That What Looks Like A Complaint Wasn't So Intended
October 19, 2017
Rep Defends Herself Against Ameriprise EFL Arbitration
October 18, 2017
Dazed and Confused by FINRA Private Securities Transaction Rule
October 17, 2017
SEC Saad Saga Still Slogs Still Sags
October 16, 2017
FINRA Settlement Muddies Wall Street's Regulatory Waters
October 13, 2017
Former JP Morgan Employee Represents Himself in Paternity Leave Case
October 12, 2017
Fidelity Sues Financial Consultant Over Secrets and Unfair Competition
October 11, 2017
Oil Industry Website Hacker Sentenced To Prison
October 10, 2017
Fixer Upper Biz Puts Stockbroker In Need of Career Renovation
October 9, 2017
$25,000 Investment in Collectible Medals Earns FINRA Bar
October 6, 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
SEC Sustains FINRA On Willful Failure to Disclose Tax Liens
October 2, 2017
FINRA Doesn't Like Dinar Time
September 29, 2017
Child Endangerment Defendant Barred By FINRA
September 28, 2017
BREAKING NEWS: SEC Loses Dramatic CLO Case Against Tilton and Zohar
September 27, 2017
FINRA Bars Rep For Arbitration Perjury
September 27, 2017
How Long Has This Been Going On? A Case of Delayed FINRA Regulation
September 26, 2017
UBS Employee Padussis Wins Best Left Unsaid Arbitration
September 25, 2017
Lawyers Cast Aspersions In Nasty FINRA Arbitration Involving Divorced Couple
September 22, 2017
TD Ameritrade Acquires Scottrade Subject To Outdated NASD Rules
September 21, 2017
Wachovia Customer Sues Wells Fargo Over FundSource Losses
September 20, 2017
Harbour and Geneos Customers Win FINRA Arbitration Against Stockbroker
September 19, 2017
Starship Enterprise, Lone Ranger, Tonto, Silver, Pumpkin Spice Latte, And FINRA Settlement
September 18, 2017
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
September 16, 2017
RIA Cherry Picking Case Rings Alarm (Anyone Listening?)
September 15, 2017
The Elderly and Blind Customer, The Stockbroker, The Joint Account, and 2 Apartments
September 14, 2017
FINRA Arbitrator Unimpeded By Defaulting Brokerage Firm
September 13, 2017
RBC Stockbroker Father Died and His Son Inherits Unhappy Customer
September 12, 2017
Stockbroker Refunds Commissions To Unhappy Morgan Stanley Customer
September 11, 2017
How Long Has This FINRA Violation Been Going On?
September 8, 2017
Veteran Sues USAA Investment Mgmt Over Alleged Mental Disability
September 7, 2017
The Merry-Go-Round of FINRA Reform. This Time It Won't Be Any Different Again
September 6, 2017
GUEST BLOG: A FAILURE OF ACCOUNTABILITY: Wells Fargo Fraud Goes Unanswered As Washington Dithers by Darrell Whitman
September 5, 2017
UPDATE: Merrill Lynch FINOP Cited By SEC for Unprecedented Violations
September 1, 2017
PNC Loses Wrongful Termination FINRA Arbitration
September 1, 2017
FINRA Arbitrators Rewrite Wells Fargo Termination Language
August 31, 2017
SEC Case Against S&P Duka Fizzles Out
August 30, 2017
Turning Right Is Wrong At FINRA Red Light
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
What's the Frequency FINRA?
August 25, 2017
Sewage Release By Wall Street Regulators
August 24, 2017
Split 2nd Circuit Affirms Martoma Conviction
August 23, 2017
Newman and Salman Come Into Play With Conradt Appeal
August 23, 2017
FINRA Public Customer Arbitration Decision Becomes A Legend
August 23, 2017
STEPHEN A. KOHN Wins Three-Way Race for 2017 FINRA Small Firm Governor
August 22, 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
Negligent Market Manipulation In OTC Stock Promotion
August 18, 2017
A Stockbroker, Her LLC, And Her Customers' Loans (Or Investment?)
August 17, 2017
7th Circuit Affirms Spoofing Conviction
August 16, 2017
VOTE FOR STEPHEN KOHN for 2017 FINRA Small Firm Governor
August 16, 2017
SG Americas Employee Wins (Sort Of) FINRA Employment Arbitration
August 15, 2017
Childbirth and Medical Emergency Impact FINRA Arbitration
August 14, 2017
$5.5 Million Power of Attorney Doctor Sees Dead Lawyers
August 11, 2017
FINRA Felony Jigsaw Puzzle
August 10, 2017
Federal Prosecutors Throw In Towel Against Benjamin Wey
August 9, 2017
This Wall Street Train of Regulation Don't Pull No FINRA Winkers
August 8, 2017
Darrell Whitman Petitions Attorney General Sessions About Wells Fargo Investigation
August 7, 2017
2Cir Affirms Icahn Victory In Options Disgorgement Case
August 4, 2017
Opening Pandora's Box of Puts
August 4, 2017
Chia Hair Plugs and 100% Principal Protected Lehman Brothers Notes
August 3, 2017
Tullet Prebon Wins Blackballing Arbitration
August 2, 2017
GUEST BLOG: Whistleblown by Michael Schwartz
August 1, 2017
FINRA Gets One Last Slap in Marine Veteran's Face
July 31, 2017
VOTE FOR STEPHEN KOHN for 2017 FINRA Small Firm Governor
July 28, 2017
Employee Wins Over $1 Million In Fraudulent Inducement Hiring Case
July 28, 2017
UBS v. Fiore: Let The Games Begin
July 27, 2017
Bond Trader Barred by FINRA Wins Arbitration For Unpaid Wages
July 26, 2017
Grassroots Movement to Revise FINRA Fine and Suspension of Richard Botkin
July 25, 2017
FINRA 2017 Small Firm Governor Election Underway
July 24, 2017
A FINRA JP Morgan Arbitration,Jamie Dimon's Embarrassment and Bill Singer's Apoplexy
July 21, 2017
Elder Abuse Allegations Arise In Wedbush Arbitration
July 20, 2017
BREAKING NEWS: Second Circuit Overturns Rabobank LIBOR Convictions
July 19, 2017
I Scream, You Scream, FINRA Screams for Ice Cream
July 18, 2017
FINRA Arbitrators Okay Firing For Failure To Recognize Questionable Activity
July 17, 2017
Stephen Kohn and Hugh Hewitt Champion Richard Botkin's FINRA Appeal
July 14, 2017
The Customer Settles And The Stockbroker Wins An Expungement
July 13, 2017
UPDATE: SEC Denies Wanger Re-Entry Into Industry
July 12, 2017
Testing FINRA's Test Center Patience
July 11, 2017
FINRA Disciplinary Settlement Raises Relevancy of Any
July 10, 2017
UPDATE: FINRA Rides The Thunder In Vietnam Movie Case
July 7, 2017
FINRA Rides The Thunder In Vietnam Movie Case
July 6, 2017
HSBC Securities Settlement Raises Questions About FINRA Examinations
July 5, 2017
Let There Be Songs To Fill The Air
July 3, 2017
Wall Street Whistleblower Johnny Burris Speaks Truth to Power
June 30, 2017
Rep Wins Expungement of 11 Year Old Complaint At Defunct Brokerage Firm
June 29, 2017
FINRA Arbitrators Can't Explain
June 28, 2017
SEC Settlement Cites Trading Ahead of Research
June 27, 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
South Park Gnomes' Underpants Scheme Inspires FINRA Arbitration Decision
June 22, 2017
BREAKING NEWS: FINRA Wins Round One of Scottsdale 144 Case
June 21, 2017
VXX Vice Versa Vexes Veteran Stockbroker
June 21, 2017
FINRA Fines And Suspends Husband For Adding His Wife As Customer's Annuity Beneficiary
June 20, 2017
Benjamin Wey Wins Suppression Order In Securities Fraud Criminal Case
June 19, 2017
Stockbroker and Wife Fake Statements For Home Loan
June 16, 2017
Stephen Kohn and Jim Webb, Candidates for 2017 FINRA Small Firm Governor
June 15, 2017
UPDATE: Potentially Dubious Flexible Rescheduling Of SEC Hearing And Awry,Alaska Cruise
June 14, 2017
Dissenting FINRA Arbitrator Cries Out for Fairness After UBS Victory
June 13, 2017
Sales Assistant and Broker Impersonate Client and Son
June 12, 2017
FINRA's Foolish Inconsistency
June 9, 2017
FINRA Fines and Suspends Rep Over Savings Goals
June 7, 2017
BREAKING NEWS: SEC Loses Supreme Court Kokesh Disgorgement Case
June 5, 2017
GUEST BLOG: Dinosaur in the Room by Stephen Kohn
June 5, 2017
2017 FINRA Small Firm Governor Petition Candidates
June 3, 2017
Join the Battle to Reform Wall Street Regulation
June 2, 2017
Bill Singer Submits Rare FINRA Comment
June 1, 2017
Wipe Out! A FINRA Arbitration Hit By Two Groups
May 31, 2017
Stephen A. Kohn For 2017 FINRA Small Firm Governor
May 30, 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
This Damnable Sin
May 23, 2017
OPEN CALL for Guest Bloggers for BrokeAndBroker.com Blog
May 22, 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
FINRA Says That's Not How To Keep HSBC Customers Satisfied
May 18, 2017
Tell Me Why: Unanswered Questions In FINRA Expungement
May 17, 2017
FINRA Arbitrators Sustain TD Ameritrade Margin Sell-Out
May 16, 2017
Customer Loses $6.6 Million VirnetX Case Against JP Morgan
May 11, 2017
Edward Jones Loses Trade Secrets Arbitration
May 10, 2017
FINRA Hoisted With Its Own BrokerCheck Petard
May 9, 2017
A Truce Just About Does It In Schwab Solicitation Case
May 8, 2017
Stunning $413,000 Award to Wells Fargo Employee in Broker Protocol Case
May 5, 2017
FINRA Arbitrator Tosses Stale Wells Fargo Customer Case
May 4, 2017
ALJ Weighs Dilemma of Sanctions Versus Punishment For Transfer Agent
May 3, 2017
PNC Employee Wins $1.8 Million Wrongful Termination Award
May 2, 2017
Stockbroker Expunges Complaint About Profitable Investment
May 1, 2017
Barclays and Traders Settle SEC RMBS Mark Up Case
May 1, 2017
GUEST BLOG: Are Decepticons Duplicitous? by Stephen Kohn
April 28, 2017
FBI Files Cite Nuclear Reactor In Home Freezer
April 27, 2017
Misconduct Bricks In FINRA Wall of Statutory Disqualification
April 26, 2017
FINRA's Three Handed Monster of a Settlement
April 25, 2017
FINRA Arbitrator Says Compliance Not A Call To Sainthood
April 24, 2017
Merrill Lynch Employee Flies First Class After Mystery Man Misuses Corporate Card
April 21, 2017
Broker Dealer Owner Smoked by FINRA in Cannabis Deal
April 20, 2017
SEC ALJ Initial Decision Dismisses Insider Trading Case
April 19, 2017
High Frequency Trading: Is Regulation the Answer?
April 19, 2017
FINRA Settles With Advisor Who Acted as POA and Health Surrogate
April 18, 2017
Citigroup, Its Former Employee, A Breached Contract, Six Blind Men, One Elephant, and FINRA Arbitration
April 17, 2017
FINRA Arbitrators Find Everyone At Fault In Customer Case
April 14, 2017
FINRA Fines and Suspends Rep For Customer Borrowing
April 13, 2017
FINRA Fines And Suspends Merrill Rep For Altering Client Documents
April 12, 2017
FINRA Settles With Merrill Lynch Rep Who Tried To Sell Customer Information
April 11, 2017
Decepticons Invade FINRA As Nationwide Email Program Reload Fails
April 10, 2017
GUEST BLOG: Flawed Attempt for a Good Idea
April 7, 2017
The FINRA Thrum Of Stamping Settlements
April 6, 2017
Casino Bets Fade Investors Retirement Savings
April 5, 2017
Edward Jones Customer Fully, Finally, and Forever Settles But Wants A Second Bite
April 4, 2017
Broker Wins Expungement of Deceased Customer's 13-Year-Old Complaint
April 3, 2017
The Dry Cleaner, Planet Alderaan, FINRA, Wells Fargo, and the Disturbed Force
March 31, 2017
Stockbroker Barred For Abusive Conduct Deemed Threat to Public and Industry
March 30, 2017
Expunging Customer Dispute Information Under FINRA Rule 2080
March 29, 2017
Where There's Willfulness There's No Way At FINRA
March 28, 2017
Bill Singer Analyzes FINRA Expungement Rules 2080 and 2081
March 27, 2017
Warp Speed Dismissal in Lightspeed Trading Arbitration
March 24, 2017
It's All Going To Pot In FINRA Settlement
March 23, 2017
Invesco Loses FMLA Wrongful Termination Case
March 22, 2017
Damnable Costs of FINRA Expungement
March 20, 2017
JP Morgan And FINRA Connect The Dots When It Matters
March 17, 2017
Chile Client Cases Chill FINRA
March 16, 2017
Stifel Gives It Away In SEC Settlement
March 15, 2017
Blizzard Hits Wall Street But A Little Birdie Sings!
March 14, 2017
Inconsistent FINRA Findings of Willful Nondisclosure Persist
March 13, 2017
SEC Files Dramatic Layering Case
March 10, 2017
FINRA Cites Pennystock Sales By Feltl Rep While Customers Buying
March 10, 2017
Life Insurance, Wife Insurance, and FINRA Life Settlement Regulation
March 9, 2017
Public Customer Sues Merrill Lynch for $7.3 Trillion
March 8, 2017
Bill Singer Pans FINRA AWC Peeps Protocol
March 7, 2017
UPDATE: FINRA Punches Ticket of Rep Over Office Parking Validation
March 6, 2017
The Dead Customer, Her Son, Trading Losses, and Stockbroker's Expungement
March 3, 2017
FINRA Sanctions Emailing of Private Consumer Info
March 2, 2017
FINRA Arbitration Panel Asks: Bueller? Bueller??
March 1, 2017
FINRA, Wells Fargo, and the Victimized 93 Year Old Investor
February 28, 2017
FINRA Punches Ticket of Rep Over Office Parking Validation
February 27, 2017
SEC Will Not Appeal Bartko And Posts Online Form For Reversing Collateral Bars
February 24, 2017
GUEST BLOG: Breaking Fake News / THE FIDUCIARY DUTY RULE IS DEAD!!
February 23, 2017
Investment Adviser Charged With Fake Withdrawals and Forgeries
February 22, 2017
FINRA Expungement Arbitration Is A Tale Told By An Idiot
February 21, 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
The Will, Disabled Aunt, Stepkids, Executor Nieces, And Stockbroker
February 14, 2017
Is SEC Cherry Picking Case Nit Picking Depositions?
February 13, 2017
Medical Marijuana Biz Goes Up In SEC Smoke
February 10, 2017
NASD Charges Member For Pursuing Research Biz. Or Was That FINRA?
February 9, 2017
OPEN CALL for Guest Bloggers for BrokeAndBroker.com Blog
February 9, 2017
Real Estate Flipper Sued For Investment Fraud
February 8, 2017
OPEN CALL for BrokeAndBroker.com Blog Guest Contributors
February 7, 2017
Google Subpoena Withdrawn in Brummer v. Wey Defamation Case
February 7, 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
Heritage Foundation Releases Landmark Report on FINRA
February 2, 2017
Promissory Notes Sales Cause FINRA Domino Effect
February 1, 2017
Subpoena Served on Google in Brummer v. Wey Defamation Case
January 31, 2017
Federal Courts Dismiss Fiduciary Class Action Against JPMorgan
January 30, 2017
FINRA Arbitration Saga Of the Unnamed and Unheard Lands in Federal Court
January 27, 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
FINRA's JP Morgan Challenge: Will the Self Regulator End Its Hypocrisy?
January 24, 2017
Stockbroker Back Dated Audited Partnership Agreements For Tax Preparer Clients
January 23, 2017
Federal Appeals Court Does Not See Fraud By Hindsight
January 20, 2017
POSITION AVAILABLE: Broker Dealer Compliance Consultant
January 20, 2017
FULL TEXT Complaint Paul McCartney v. SONY
January 19, 2017
FINRA NAC Member Brummer Files Amended Defamation Complaint
January 19, 2017
SEC Collateral Bars Set Aside In Dramatic Bartko Victory
January 18, 2017
NSF Check Kiter Snagged In FINRA Regulatory Tree
January 18, 2017
SEC Fines BlackRock For Financial Disincentive Provision For Whistleblowers
January 17, 2017
Stockbroker Impersonations Prompt FINRA To Ask Who Are You
January 17, 2017
Guilty Plea In FOREX Price Fixing Case
January 13, 2017
FINRA Says Call It A Loan On A Debt That You Owe
January 13, 2017
Tax Liens and Wall Street Disqualification
January 12, 2017
FOREX Markets Hit By New Indictments
January 11, 2017
SEC Settles 3 RIA Referral Fees Cases
January 11, 2017
FINRA Arbitrators Slam Wedbush In Pay Dispute
January 10, 2017
SEC Opts For Intercircuit Nonacquiescence
January 9, 2017
BREAKING NEWS: Corzine Ordered to Pay $5 Million in MF Global Case
January 5, 2017
FINRA Arbitrators Rewrite Mutual of Omaha Form U5 Termination Comment
January 5, 2017
Citigroup Wins Stale FINRA Customer Suitability Arbitration
January 4, 2017
A FINRA Settlement Asks How Long Is Too Long? When Is Enough Enough?
January 3, 2017
FINRA Rule 3270 Outside Business Activities Analysis by Bill Singer
January 2, 2017
FINRA Rule 3280 Private Securities Transactions Analysis by Bill Singer
December 30, 2016
5 Years Later: The Politics of Wall Street Regulation Is Unabated
December 28, 2016
UPDATE: Scottsdale Sues FINRA In Edgy Effort To Halt Disciplinary Case
December 27, 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
FBI Director Comey Offers Wall Street Lawyer Bill Singer Hitch Free US$8 Million
December 23, 2016
FINRA Panel Sides With Zions Direct In Employee Bidding Policy Wrongful Termination Case
December 22, 2016
SEC Shuts Down RIA Cherry Picking
December 21, 2016
UPDATE: Hacking (Not Fracking) Gives Oil Industry Website Developer Gas Pains
December 20, 2016
Pro Se Inmate Stuns SEC Division of Enforcement
December 19, 2016
Confusing Customer Conversion Case Confounds FINRA
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
Edward Jones Discriminated Against Female Employee
December 14, 2016
Two Bit Explanation In $4 Million Morgan Stanley Employment Arbitration
December 13, 2016
Donald Trump, Boeing, And FINRA Fixed Income Fair Charges
December 12, 2016
Stockbroker Repays Client Loan But Ends Up In Trouble
December 9, 2016
Stockbroker Excel Error And Clients Liquidation Losses
December 8, 2016
New Cars and Used Arbitrations
December 7, 2016
Supreme Court Rules on USA v. Salman Insider Trading Case
December 6, 2016
The Some and Almost All Of A FINRA Unauthorized Discretion Settlement
December 6, 2016
FEDERAL FUMBLES: 100 Ways the Government Dropped the Ball
December 5, 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
Federal Judge Says What She Means In ARS Case
November 30, 2016
What The Hell Does It Take For FINRA To Bar A Stockbroker?
November 29, 2016
Bill Singer Dissects FINRA's Acceptance Waiver and Consent Settlement (AWC)
November 28, 2016
Bogus Stockbroker Gets 15 Years In Prison For Elder Fraud
November 22, 2016
Former Wells Fargo Rep Shocks Firm With Her Stunning Arbitration Win
November 21, 2016
The Most Terrible Crime a Human Being Can Commit
November 18, 2016
The Divorcing Husband And Wife Stockbrokers Joint Production Team
November 17, 2016
Whatcha See is Whatcha Get In FINRA Settlement
November 16, 2016
SEC ALJ Sings Questions 67 & 68 and 25 or 6 to 4
November 15, 2016
FINRA Faked Out By Move
November 14, 2016
FINRA Settles Non Disclosure Of Tax Liens Without Finding Willfulness
November 11, 2016
Godzilla, Frankenstein, tradeMONSTER and Not So Obvious Error
November 10, 2016
Merrill Lynch Defamation Ruins Stockbroker Career
November 9, 2016
Trade Error Haunts Stockbroker
November 8, 2016
Death Be Not Proud Or Profitable In SEC Fraud Case
November 7, 2016
Wells Fargo Shocked By Employee Theft
November 4, 2016
FINRA Sanctions Lack of Proactive Compliance
November 3, 2016
Dementia At Issue In Wells Fargo Arbitration
November 2, 2016
Wage Garnishments Are FINRA Smoke Signals
November 1, 2016
Champerty Found In $209 Million Notes Purchase by Cayman Shell from German Bank
October 31, 2016
SEC Sends Second Valentine Message Not Filled With Love
October 28, 2016
Wanton Disregard Cited In FINRA Raiding Arbitration
October 27, 2016
Has Big Data Made Us Lazy? Speech By SEC Deputy Director Scott W. Bauguess
October 26, 2016
Imposter Plays Flag Football With Broker Dealer Wire Transfer
October 25, 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
SEC ALJ Sees the Relevant in the Room
October 20, 2016
FINRA Cites Unfair ACAT Charge And Slow Transmittal of Funds
October 19, 2016
Merrill Lynch KO'd In $1.6 Million Note Arbitration
October 18, 2016
Veteran Wall Street Critic Bill Singer Slams FINRA Expungement Process
October 17, 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
FINRA Bars Two Brokerage Employees For Bogus Business Expenses
October 12, 2016
Caveat Emptor Proves True In Purchase Of Troubled Broker Dealer
October 11, 2016
Schwab Sues Customer In Stock Options Dispute
October 10, 2016
Wall Street Regulation Understood Backwards
October 7, 2016
Citigroup Senior Trader Cooks The Books Over Bonus
October 6, 2016
Lo And Behold: Wells Fargo Claws Back Manager Compensation
October 5, 2016
Texas State Senator Rodney Ellis Wins FINRA Employment Arbitration
October 4, 2016
Veteran Wall Street Lawyer Bill Singer Cracks FINRA Code of Secrecy
October 3, 2016
WTF? FINRA AWC OBA LPL RS CK
September 30, 2016
Customer Twice Victimized By Broker's Impersonation and Online Disclosure
September 29, 2016
NY Life Rep Crosses Arbitration Rubicon With Expungement Case
September 28, 2016
Sportspicks.com Founder Loses FINRA Regulatory Wager
September 27, 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
Wells Fargo's Stumpf Stumbles And FINRA Fumbles
September 21, 2016
Defamed PNC Employee Wins Dramatic Expungement
September 20, 2016
PNC and Wells Fargo Stockbroker Wins Customer Complaints Expungement
September 19, 2016
OPEN CALL For BrokeAndBroker.Com Blog Guest Contributors
September 19, 2016
GUEST BLOG: Who Is A Customer For Purposes of FINRA Arbitration Rule 12200 by Martin P. Unger Esq
September 16, 2016
Town Treasurer, Brokerage Financial Principal, Forged Checks, and Heroin for Sex
September 15, 2016
Former Schwab Stockbroker Obliterates Firm In Wrongful Solicitation Case
September 14, 2016
Ex-Wife Sues Wells Fargo Stockbroker Over Expert Witness Role In Divorce
September 13, 2016
FINRA Tells Stockbroker He's Through After Firm Pays His Bills
September 12, 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
Fired Nationwide Rep Wins FINRA Expungement
September 7, 2016
Career Skid Marks Left By Altered Auto Insurance Declaration Page
September 6, 2016
California Court of Appeal Says FINRA Expungement Hearing Unfair
September 1, 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
The Gilligan's Island Iliad Odyssey of a FINRA Customer Arbitration
August 30, 2016
Feds Charge Alt-Fuel, All Electric Company Simply Old Fashioned Hot Air Stock Scam
August 29, 2016
Compliance Is A Sentence, Not A Word
August 26, 2016
FINRA Protective Order Addresses Private Confidential Information (PCI)
August 25, 2016
FINRA Arbitration Soccer Match Ends With Penalty Kicks
August 24, 2016
FINRA Settlement Enters the RIA and BD Jungle
August 23, 2016
I Don't Want To Miss A Thing In Customer's Armageddon FINRA Arbitration
August 22, 2016
Did You Hear The One About The Solicited Order that Got Marked Unsolicited?
August 19, 2016
SEC Fines Company for Financial Disincentive Provision For Whistleblowers
August 18, 2016
Janus Distributors Slammed In Employment Termination Arbitration
August 16, 2016
SEC Splits Over CPA Bars For PCAOB Audit
August 15, 2016
Non-FINRA Employment-Loan Lender Ordered to Arbitration By NYS Appellate Court
August 12, 2016
BREAKING NEWS: 2 Circuit Denies Criminal Expungement
August 11, 2016
Foreign Associates Cause FINRA Headache For US Brokerage
August 11, 2016
The Stockbroker, Her Cancer Patient Friend and Customer, And The Estate Complaint
August 10, 2016
FINRA Pulls Over JP Morgan Broker In Luxury Car Biz
August 9, 2016
Banker Broker Barred Over Rebate of Overdraft Fees
August 8, 2016
Morgan Stanley Humiliated in $10 Million Employee Loan Arbitration
August 5, 2016
Double Trouble On Wall Street
August 4, 2016
Citigroup Investment Banker Punished by FINRA for Good Deeds?
August 3, 2016
The Stockbroker, The Barred Customer, And The Sister-In-Law's Company
August 2, 2016
FINRA Fines and Suspends Broker For Role As Real Estate Agent
August 1, 2016
FINRA Says It's A Matter of Trust Or Is That Trustee?
July 29, 2016
Brokerage Firm Demands $2.6 Million Damages From Former Employees
July 28, 2016
Time And Chance on Wall Street And A Customer's Belated Arbitration Complaint
July 27, 2016
Lawsuit Pits Wrongful Termination Against Hyped Trailing Revenues
July 26, 2016
Wells Fargo Customer Wins $181,000 For Failure to Cash Out
July 25, 2016
Feds Unfriend Facebook Fraud Fleecers
July 22, 2016
Wrap It Up! SEC Settles Wrap Fee Case
July 21, 2016
Wally and Giovanni: New FBI Crisis Response Canines
July 20, 2016
Earn Reward Points in Ticket Biz Scam With 25 Bogus AMEX Cards
July 20, 2016
Ex-Wife, Deceased Father, Executrix Daughter, Retirement Account, and Annuity
July 19, 2016
Do I Need to Notify the DOL About My RIA's Reliance on the Best Interest Contract Exemption?
July 18, 2016
Voyeurs In A Digital Age: In Memoriam, Nice, France
July 15, 2016
All Along The Wall Street Watchtower
July 14, 2016
Secret Customer Settlement Gets Stockbroker Fined and Suspended
July 13, 2016
Coscia Sentenced to 3 Years In First Spoofing Case
July 13, 2016
SEC Put Writing and Swap Case Slogs To Federal Courts
July 12, 2016
Bill Singer Supports ROBERT MUH for 2016 FINRA Small Firm Governor
July 11, 2016
A Message From STEPHEN KOHN Candidate for 2016 FINRA Small Firm Governor
July 11, 2016
A Message From ROBERT KEENAN,Candidate for FINRA Small Firm Governor
July 8, 2016
Customer Lays $10 Million Egg in Charles Schwab Arbitration
July 7, 2016
Multiple Max Bialystocks in Movie Scam Indictment
July 6, 2016
Get On Board With New FINRA Rule 2273 Before You On-Board Registered Reps
July 1, 2016
Pro Se Stockbroker Wins $435,000 Award In Defamation And Termination Case
June 30, 2016
Lonely Game of Masquerade As FINRA Hides Two Entire Countries
June 29, 2016
Wedbush Ordered to Pay Attorneys Fees After Untimely Payment of Attorneys Fees
June 28, 2016
Homer Simpson, Killer Tomatoes, and SEC v. McDuff
June 27, 2016
Led Zeppelin, Brexit, And Manny the Songbird
June 24, 2016
The Husband's IRA, The Ex-Wife, The Forgeries, The Withdrawals, And The Lawsuit
June 23, 2016
Take What You Have Gathered From Coincidence In Oral Advisory Fee Agreement
June 22, 2016
FINRA Says Customer Oral Authorization Not Worth The Paper It's Not Written On
June 21, 2016
FINRA Mixed Message About Inflating Sales And Trades
June 20, 2016
Former UBS Securities Employee Wins $2.3 Million In Wrongful Termination Case
June 17, 2016
IRS Says FINRA Schrodinger Cat Has Three Lives
June 16, 2016
CCO Fined and Suspended For Missing Private Securities Transaction
June 14, 2016
In Memoriam for Orlando
June 13, 2016
Stop the Federal Bureau of Prisons Anti-Investor Tactics
June 10, 2016
SEC Crisis Response Criticized In Compelling Law Review Article
June 10, 2016
BrokerCheck Dispute Says FINRA Wrongly Says SEC Bar is Permanent
June 9, 2016
Fraudster Got 300 Months In Prison But Still Frustrates the SEC
June 8, 2016
Rep Says Merrill Lynch Failed to Enroll Him In Deferred Comp Plan
June 7, 2016
Deutsche Bank Directors Indicted for LIBOR Fraud
June 6, 2016
FBI Stay-Behind Plan For Soviet Invasion of Alaska
June 3, 2016
BREAKING NEWS: 2nd Circuit Delivers Blow to Tilton Appeal
June 2, 2016
Dirty Deeds Done Dirt Cheap On Wall Street
June 2, 2016
UBS Reversed $5 Million Unauthorized Order
June 1, 2016
The Paralysed Force of the SEC And Its Gesture Without Motion
May 31, 2016
Wordless Songs and the Sounds of Crickets on Wall Street
May 27, 2016
SEC Can't Reach Federal Inmate For Telephonic Hearing
May 26, 2016
Love And Marriage On Wall Street
May 25, 2016
FINRA Publishes Mitigation Statement in Elderly Client Conversion Case
May 23, 2016
UBS and Wells Fargo Wage Thumb Drive Warfare
May 20, 2016
BREAKING STORY: FULL TEXT SEC Complaint and DOJ Indictment and Information in Dean Foods Insider Trading Case
May 19, 2016
Ameriprise Stockbroker Altered and Concealed Evidence in Consumer Arbitration
May 19, 2016
Americans for Financial Reform Protest Forced Consumer Arbitration
May 18, 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
BREAKING NEWS: Supreme Court Rules On Manning v. Merrill Lynch
May 16, 2016
Wedbush Didn't Know What It Lost Till Its Employee Was Gone to Stifel
May 16, 2016
Wells Fargo Employee Withdraws Money From Customers ATM Accounts
May 13, 2016
Online Microcap Finder Fee Platform Raises FINRA Regulatory Concerns
May 12, 2016
FINRA Sanctions Stockbroker's Loans From Mom, Friend and Friend's Wife
May 11, 2016
FINRA Wins Scottsdale Capital Advisors Motion to Dismiss
May 9, 2016
Female Completed Continuing Ed for Male Supervisor
May 9, 2016
Mom, Sister-In-Law, Two Brothers, and Stock Proceeds
May 6, 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
Morgan Stanley Goes After Former Emploiyee Who Joined LPL
May 4, 2016
How Can I Be Sure In A FINRA World That's Constantly Changing?
May 2, 2016
Janney Montogmery Scott Loses Promissory Note Arbitration
April 29, 2016
FINRA Sanctions Firm and CCO in Texting Settlement
April 28, 2016
SEC Files Complaints Alleging Pump And Dump Scheme Involving Shell Company
April 27, 2016
Approved Outside Business Activity Morphs Into A Troubling Private Securities Transaction
April 27, 2016
Wall Street Critic Bill Singer Revisits His 2009 Reform Proposals
April 22, 2016
Suspended HSBC Rep Pasted Clients Names Over His Utility Bill
April 15, 2016
E*Trade Employee Wins Form U5 Expungement
April 14, 2016
Broker Protocol Cited In Bonus Retention Lawsuit
April 13, 2016
My Baby Sent Me A Letter But My Client Didn't
April 8, 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
FINRA Arbitrators Deal With Vague And Ambiguous Employment Agreements
April 1, 2016
Customers Sue Ameriprise Over African Mining Stock In Their IRAs
March 31, 2016
A Stockbroker, His Former Customer, A Restaurant, And The New Face of Wall Street Regulation
March 30, 2016
Scottsdale Sues FINRA In Edgy Effort To Halt Disciplinary Case
March 28, 2016
Unsealed Iranian Indictment Is A Powerful Message, Or So They Say
March 25, 2016
UPDATE: Net Capital Violations Become Federal Criminal Case
March 23, 2016
Wall Street Employee Fined and Suspended For Being In 2 Places At Same Time
March 21, 2016
Beal Street Blues After Employee Wins Unpaid Bonuses
March 17, 2016
Brummer Versus Wey Defamation Case Moves Forward, Sort Of
March 16, 2016
Curious Case Of A Wall Street Wrongful Resignation Lawsuit
March 14, 2016
$30 Million Claims By Former Wells Fargo Broker And Customer
March 11, 2016
Hiding In Plain Site: Undisclosed Criminal Past Was Undetected
March 10, 2016
Rochdale and Pershing Slugfest In $45 Million Rogue Trader FINRA Arbitration
March 9, 2016
SEC Stops Blue Mountain S-1 Registration
March 7, 2016
SEC Cites Stockbroker Over Confidentiality of Inherited Accounts
March 2, 2016
LPL Loses Dramatic Employee Defamation Case
February 29, 2016
Borrowing From Customer, Tax Liens, Settling Away,Social Media, And More!
February 26, 2016
UPDATE: READ FULL-TEXT Apple Inc Motion To Vacate
February 25, 2016
You Hear The One About The Bleeding Guy in the Hospital Who Shot Himself?
February 25, 2016
Customer Gifts Shares To UBS Broker. FINRA Gifts Fine and Suspension to Rep
February 24, 2016
Stockbroker Fined and Suspended for Impersonating Mother, Wife, and Cousin
February 22, 2016
FULL TEXT Motion to Compel in Farook / Malik iPhone Case
February 19, 2016
UPDATE:Brokerage CEO Sentenced to Prison in Net Capital Case
February 19, 2016
Oral Discretion Isn't Worth The Paper It's Not Written On
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
BREAKING STORY:Morgan Stanley $3.2 Billion RMBS Settlement. READ FULL TEXT AGREEMENTS
February 11, 2016
US Bancorp Investments Employment Dispute Ends With Mixed Result
February 11, 2016
UPDATE: Pro Se Respondent Battles SEC to Standstill
February 10, 2016
The Houston Terrorist and The Order On Ineptitude
February 9, 2016
CD War Between Securities and Exchange Commission and Federal Bureau of Prisons
February 8, 2016
FINRA Statement of Corrective Action Defamation Lawsuit Slams Brokerage Firm
February 5, 2016
Morgan Stanley Hit With Punitive Damages In Customers Arbitration
February 4, 2016
Brokerage Firm Censured and Fined for Undetected Statutorily Disqualified Rep
February 3, 2016
FULL TEXT Barclays and Credit Suisse SEC Dark Pools Settlement
February 2, 2016
FINRA Impounds Stockbroker Over Used Car Biz Loans From Customer
February 1, 2016
Federal Appeals Court Says Mandatory FINRA Arbitration Isn't Necessarily So
January 29, 2016
FINRA Email AWC Raises Question About Regulatory Hypocrisy
January 29, 2016
Bill Singer Slams FINRA Ameriprise Arbitration Decision For Lack of Content and Context
January 28, 2016
FINRA Fines and Suspends Stockbroker Over Executor Role
January 27, 2016
Full Court Press Stuffs Tate "The Shot" George With 9 Year Personal Foul
January 25, 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
Stockbroker Alters Customer Phone Numbers and Email Addresses
January 14, 2016
Butterfield Genie Back In The Bottle But Puzzling Promissory Note Lawsuit Remains
January 13, 2016
Rude And Divisive Barclays Employee Loses Note Case
January 8, 2016
BrokeAndBroker.com Blog Suspends Market Commentary Per Desolation Row Side Car Rules
January 7, 2016
Macquarie Pays $2.95 Million Blue Sheets Fine
January 6, 2016
Did Registered Rep Voluntarily Quit Or Was She Fired? Arbitrator Says Neither.
January 4, 2016
CASE IN POINT with Bill Singer, Esq.
December 31, 2015
Lord Voldemort, Merrill Lynch, Bank of America, and FINRA
December 30, 2015
FINRA and Smarsh Prevail In Spoliation Case
December 28, 2015
UPDATE: Bank Employee Charged With Illegal Access Of 730,000 Accounts
December 24, 2015
Merrill Lynch Stockbroker Beats Wells Fargo In Employment Dispute
December 23, 2015
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
Merchant Suckers, Whore, and Little Bitch In FINRA Arbitration
December 16, 2015
The Merrill Lynch Stockbroker, the Deceased Mom, Her Son, And Transfer On Death
December 14, 2015
Artwork Purchases and Charitable Donations Cited In FINRA Settlement
December 10, 2015
FINRA Jurisdiction Over Insurance Agent Activity Challenged In SEC Appeal
December 9, 2015
Morgan Stanley Wins Promissory Note Arbitration Against Former Employee
December 7, 2015
That Customer Complaint May Not Be A FINRA Reportable Event
December 4, 2015
The SEC Fears The Email Privacy Act
December 3, 2015
Yabba Dabba Doo In Unbeknowst FINRA Embezzlement AWC
December 2, 2015
One Singular Registered Sensation In FINRA Chorus Line Settlement
November 30, 2015
CASE IN POINT: The Full Series Hosted by Bill Singer
November 25, 2015
CASE IN POINT video interview with host Bill Singer and guest Jenice Malecki, Esq.
November 24, 2015
Former Allianz Rep Sues To Clear Her Name In War Over Expenses
November 23, 2015
Mutual Funds and Annuity Disputes Fuel Customers FINRA Arbitration
November 20, 2015
Short Trader's $106,000 GoFundMe Plea After Getting Clobbered by KBIO
November 19, 2015
Virtus Gets F-Squared In SEC Settlement
November 19, 2015
Stockbroker Fined And Suspended In Email Transfer of Customer Info From Merrill To Ed Jones
November 18, 2015
CASE IN POINT Video Interview with host BILL SINGER and guest Brittany Weiner, Esq.
November 17, 2015
EMPLOYMENT TUESDAY at BrokeAndBroker.com
November 17, 2015
$4.6 Million Elderly Ponzi Shell Game Ends With SEC Settlement
November 16, 2015
Pennystock Kickback Scheme Gets In Last Kicks at SEC
November 13, 2015
Net Capital Violations Become Federal Criminal Case
November 12, 2015
CASE IN POINT with Host Bill Singer and Guest JOSH BROWN
November 10, 2015
EMPLOYMENT TUESDAY at BrokeAndBroker.com . CASE IN POINT New Video Online: JOSH BROWN
November 10, 2015
Echoes of A Stockbroker's Mind For A Hacker On A Wire
November 9, 2015
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
November 7, 2015
Grandparents Victimized In Narcotics Bail Scam
November 6, 2015
VXX Vapid Hedge Rubs FINRA The Wrong Way
November 5, 2015
Stockbroker Sanctioned For Trades For Client She Thought Was Autistic
November 4, 2015
CASE IN POINT with BILL SINGER. New Episode Online. GUEST: Shah Gilani
November 3, 2015
EMPLOYMENT TUESDAY at BrokeAndBroker NEW VIDEO ONLINE at Case In Point with Bill Singer
November 3, 2015
Compliance Advisor Fined and Suspended For Falsifying Data
November 2, 2015
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
October 31, 2015
FINRA Complains About CCO Complaint Reporting
October 29, 2015
Down-Low Download Of Contact Information Sends Stockbroker Offline
October 28, 2015
CASE IN POINT with Bill Singer. GUEST: Martin Kaplan, Esq. on The Future of Smaller Broker Dealers
October 27, 2015
EMPLOYMENT TUESDAY at BrokeAndBroker.com Blog CASE IN POINT Posts New Episode
October 27, 2015
Brokerage Customer Sues Because X Minus X Equals Zero
October 26, 2015
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
October 24, 2015
Hit And Run Wall Street Regulation Immunized In Goble and North American Appeal
October 23, 2015
RBC In Breathless Arbitration Over Zombies And Beauty Parlor Fumes
October 22, 2015
Stockbroker Fined and Suspended Over Limited Partnerships and Notes
October 21, 2015
CASE IN POINT with BILL SINGER with guest Corporate Finance Lawyer Lawrence Nusbaum
October 20, 2015
EMPLOYMENT TUESDAY at BrokeAndBroker.com CASE IN POINT Video Online
October 20, 2015
Conspirators Indicted In Online Malware Attacks Against Financial Accounts
October 19, 2015
FINRA Hearing Panel Dismisses Private Offering Case
October 16, 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
CASE IN POINT with Bill Singer Premieres Today. EMPLOYMENT TUESDAY at BrokeAndBroker.com
October 13, 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
Morgan Stanley Client Service Associate Trips Over Wire Request
October 8, 2015
Bank Employee Charged With Illegal Access of 730,000 Accounts
October 7, 2015
Money For Nothing And The Stocks Are Free (Sort of)
October 5, 2015
UPDATE: Federal Appeals Court Reverses Goldman Sachs Arbitration
October 2, 2015
Bond Trader Barred For Using Can't Lose Strategy
October 2, 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
Federal Appeals Court Calls Whistleblower Case Quite Silly
September 30, 2015
UPDATE: Polygraph Expert Says It Ain't Lying. It's Nervousness
September 28, 2015
Another Wall Street Fall Girl Takes A FINRA Flop
September 25, 2015
SEC Advisory Committee Makes Historic Recommendations for Finder's Fees
September 24, 2015
Walking Through the FINRA Expungement Process
September 24, 2015
Morgan Stanley Gives Employees Arbitration Choice: Say Nothing And You're Enrolled
September 23, 2015
Ameriprise Inexplicably Loses Promissory Note Case
September 21, 2015
HSBC Stares Into The Eye of the Tiger And Blinks
September 18, 2015
FINRA Fines UBS Over Bloomberg Messages
September 16, 2015
Insider Trading Case Collapses Over Personal Benefit Proof
September 15, 2015
Folded Note Found On Test Center Floor
September 14, 2015
Things Get Waaaay Worse for Wey UPDATE
September 11, 2015
Stockbroker Exonerated After Nephews and Niece Accuse Her of UTMA Fraud
September 11, 2015
FULL TEXT DOJ Individual Accountability Memo ONLINE at BrokeAndBroker.com
September 10, 2015
Undercover FBI Pennystock Sting
September 9, 2015
Stockbroker Wins Expungement Over Annuities
September 4, 2015
The Ol' Variable Annuity Switcheroo
September 3, 2015
FBI Warns About Business Email
September 2, 2015
Unregistered Activity Proves Katalyst For FINRA Settlement
August 31, 2015
SEC ALJ Sent To Woodshed In Remanded Listing Revocation
August 28, 2015
FULL TEXT Opinion in Barclays High Frequency Trading Case
August 27, 2015
SEC Denies Three Whistleblower Awards
August 26, 2015
Investor Reaction to August 24, 2015 Stock Market
August 24, 2015
Stockbroker Fired and Barred For Role With Privately Held Company
August 24, 2015
Stockbroker Wins Customer Expungement Arbitration
August 21, 2015
FINRA Rules 8210 and 9552: The Costs On Not Responding
August 20, 2015
FINRA Jams Ditto Copying of Trades
August 17, 2015
SEC Takes On Federal Court In Dispute Over Whistleblower Interpretation
August 14, 2015
7 Year Arbitration Saga Ends In Ashes For Public Customers
August 13, 2015
UPDATE 2: Law Professor FINRA NAC Member Files Defamation Complaint
August 12, 2015
Former Deutsche Bank LatAm Transactions Head Wins Millions In Whistleblower Retaliation Case
August 10, 2015
UPDATE: Former Stockbroker Sues FINRA Over Online Disclosure of 18 Year Old Settlement
August 7, 2015
SEC ALJ Issues Breathtaking Dismissal Of Compliance Professional Case
August 6, 2015
Morgan Stanley Hit With Punitive Damages In Customer Arbitration
August 5, 2015
FINRA Bars Top Producer For Charging Commissions Instead Of Fees
August 3, 2015
Stockbroker Disqualified For Non Disclose Of Grand Jury Investigation
July 31, 2015
Bond Parking For Net Capital Benefit Disqualifies Brokerage Executive
July 30, 2015
Morgan Stanley Sex Discrimination Arbitration Ends In Federal Court
July 29, 2015
30 Year Veteran RR Sues Former Brokerage Firm In Compensation Dispute
July 24, 2015
Software Glitch Overwhelms Firm's Email Review
July 23, 2015
Major Fine Slams FINRA Firm For Supervisory Violations
July 22, 2015
Sharktopus Versus WhaleWolf Versus Sharknado (Bill Singer Cries for Help)
July 20, 2015
Website, Social Media, Fees,and Email Fall Off Compliance Officer's Radar
July 20, 2015
Over $3 Million Awarded by SEC to Whistleblower
July 17, 2015
Court Sends $700,000 Employee Note Dispute To Arbitration
July 17, 2015
Stockbrokers Sue Customer Over Unpaid Margin Debit
July 16, 2015
Sexual Orientation Harassment And Discrimination In Stifel Promissory Note Case
July 13, 2015
1 Registered Rep, 5 Days, and 9 NSF Checks
July 10, 2015
Stockbroker Husband Signs Insurance Loan for Wife But She Denies Authorization
July 9, 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
Former Employee Sues Firm For Unpaid Commissions
July 6, 2015
Grexit, Laurel & Hardy, George Bernard Shaw, And Bob Dylan
July 6, 2015
The Goose And Gander Of Forex Fraud Hypocrisy
July 2, 2015
Third Party Wires Clothesline Scottrade In FINRA Settlement
July 1, 2015
SEC Commissioner Aguilar Says Commissioner Gallagher Wrong About Chief Compliance Officer Regulation
June 30, 2015
Law Professor FINRA NAC Member Files Defamation Complaint
June 29, 2015
BREAKING NEWS: Supreme Court Rules On Gay Marriage
June 26, 2015
Tryin' To Loosen My Load, I've Got 7 SEC Lawyers On My Mind
June 26, 2015
BREAKING NEWS: Supreme Court Issues Historic Obamacare Opinion
June 25, 2015
Honor System Fails In FINRA Email Settlement
June 25, 2015
Undisclosed Customer Complaints Cited In FINRA Arbitration
June 24, 2015
Time Has Come Today In Stockbroker Expungement
June 24, 2015
SEC Risk Alert Announces Retail Retirement Examinations
June 22, 2015
Notes In FINRA Test Center Earn Fine And Suspension
June 22, 2015
Wall Street Sales Assistant Scams 3 Years of Reimbursed Expenses
June 19, 2015
SEC Commissioner Gallagher Rages Against The Dying Light In Two Dissents
June 18, 2015
FULL TEXT Espinoza v. Dimon London Whale Shareholder Derivative Suit
June 17, 2015
SEC Issues Only 21st Stop Order In Two Decades
June 17, 2015
Fed Court Says Nothing From Nothing Leaves Nothing In AIG Case
June 15, 2015
UPDATE: SEC Derails Scam Train On Trading Platform
June 15, 2015
FINRA Says You've Got A Friend, Fine, and Suspension
June 12, 2015
Stockbroker Impersonates Customers During Phone Calls
June 11, 2015
Nasty FINRA Lawsuit Gets Nastier
June 10, 2015
Fines and Suspensions For Brokers In Sales Quota Sham
June 8, 2015
A Brief History of FINRA ETF Time
June 4, 2015
Computer Glitch Overpays Stockbroker's Commissions
June 3, 2015
Lost Lavatory Laptop Lands Sterne Agee In Crapper
June 1, 2015
Hundreds of Thousands Defrauded In $50 Million Text Messaging Scam
May 29, 2015
Study Guide Fails A Wannabe Stockbroker
May 29, 2015
FINRA Says Charity Does Not Begin At Home
May 28, 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
UPDATE: Bill Singer's Ennui In Response To The DOJ FOREX Press Junket
May 20, 2015
BREAKING NEWS: Supreme Court Rules on 401(k) Plan Prudent Management
May 18, 2015
Stockbroker Fined and Suspended For Sending Customer Data To New Firm
May 18, 2015
Polygraph Expert Says It Ain't Lying. It's Nervousness
May 15, 2015
A Video Tribute to B.B. King
May 15, 2015
FINRA Wrestles With Serious,Aggravating, And Egregious Filing Failures For Forms U4 and BD
May 14, 2015
The Stockbroker,The Compliance Officer,The Dead Customer And The Accommodation Forgery
May 13, 2015
FBI Online Vault Opens For 2015
May 11, 2015
Sympathy For The Bankruptcy Devil In A FINRA Arbitration
May 8, 2015
Wells Fargo Defrauded By Online Dating Check Scam
May 7, 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
FINRA Moves to Dismiss Spoliation Claims
May 5, 2015
What A Difference A Day Makes For Leveraged ETFs
May 4, 2015
SEC Denies Whistleblower Bounty to Claimant Seeking Five Awards
April 30, 2015
BREAKING NEWS: Supreme Court Vacates And Remands Mach Mining EEOC Case
April 29, 2015
Unapproved USB Use Upsets UBS
April 27, 2015
FINRA Named As Defendant In Case Alleging Altered Electronic Files
April 24, 2015
SEC Awards Compliance Officer Million Dollar Whistleblower Bounty
April 22, 2015
FULL TEXT Criminal Complaint in USA v. Sarao Flash Crash Case at BrokeAndBroker
April 22, 2015
FINRA Arbitrators Expunge Customer Settlement Contribution From Merrill Lynch Broker
April 22, 2015
Stockbroker Denied Expungement In Suitability and ETF Arbitration
April 20, 2015
US Attorney and SEC Charge Investment Advisor In $20 Million Fraud
April 17, 2015
FINRA Arbitrators Say Ineffective Fiduciary Did Not Breach Fiduciary Duty
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
Battle Royal In FINRA Arbitration Steel Cage Match
April 10, 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
FINRA Puts The Pedal To The Metal In Truck Sale Gone Bad
April 3, 2015
SEC Settles With KBR On Effort To Impede Or Undermine Whistleblowers
April 2, 2015
New DOJ Asset Seizure Memorandum
April 1, 2015
The 100 Year Old Beneficiary, The Stockbroker Trustee, And The Current Former Customer
April 1, 2015
Stockbroker Fined And Suspended For Undisclosed Insurance Biz
March 30, 2015
FULL TEXT Complaints And Answers in Pao v. Kleiner Perkins
March 27, 2015
FINRA Suspends Broker Over Repaid Customer Loan
March 27, 2015
optionsXpress Out Of Email Options
March 26, 2015
BREAKING NEWS: Supreme Court Vacates And Remands Young v. UPS
March 25, 2015
BREAKING NEWS Supreme Court Vacates / Remands Omnicare Registration Statement Case
March 24, 2015
Customer Wins $378,000 in Ultra Short ETF Lawsuit
March 23, 2015
Merrill Lynch Blindsided By Former Employee In Promissory Note Case
March 20, 2015
SEC Grants FINRA An Extraordinary Voluminous Extension
March 19, 2015
The Amazing Mobius Strip Of Wall Street Regulation
March 18, 2015
Former Lek Employee Suspended For Taking The Fifth At FINRA
March 16, 2015
FINRA Fines Firm For Miscommunication Between Compliance And Payroll
March 13, 2015
Schwab Seeks $6 Million In Solicitation Dispute
March 12, 2015
SEC Declines To Stay FINRA Bars Pending Appeal
March 11, 2015
Stockbroker Sues Non Customer Customer Over Unproven Promissory Note
March 9, 2015
Online Coupon Business Cuts Registered Person
March 6, 2015
Former Hartford Securities Rep Demands Over $10 Million In Damages
March 5, 2015
Supervisor Fined, Suspended, and Barred In Ponzi Fiasco
March 4, 2015
First SEC Whistleblower Bounty Awarded To Corporate Officer
March 3, 2015
SEC Operation Shell Expel Drains Reverse Merger Cesspool
March 2, 2015
Office Condo LLC and Residential Property LLC Add Up To Outside Business Violations
March 2, 2015
After Credit Card Expense Suspension, Stockbroker Barred By Liens And Judgments
February 27, 2015
Supreme Court Asks If A Fish Is Always A Fish Or Sometimes A Computer Hard Drive
February 26, 2015
SEC Nixes Reconsideration Of FINRA Client Files Case
February 25, 2015
FINRA Wins Discrimination Retaliation Lawsuit
February 23, 2015
Broker Wins FINRA Arbitration Expungement
February 20, 2015
Former Stockbroker Sues FINRA Over Online Disclosure of 18 Year Old Settlement
February 19, 2015
A Purloined Letter Challenges Wall Street To Adapt
February 18, 2015
Stockbroker Does Not Get Buy With A Little Help From His Friend
February 13, 2015
Stockbroker Selfies Are Regulatory Negatives
February 12, 2015
A Tale Of Two Wall Streets And FINRA's Disparate Sanctions
February 11, 2015
An IRA, A Husband's Death, A Beneficiary Wife, And Two Regulators
February 9, 2015
FULL TEXT 2nd Circuit Fezzani v. Bear Stearns
February 6, 2015
UBS Stockbroker Expungement in Lehman Bond Case
February 6, 2015
Is FINRA Actin' Kinda Shady In Naming (Or Not) Banks?
February 5, 2015
Online App Biz Clicks Registered Rep Into OBA Trouble
February 4, 2015
Lawsuit Says FINRA Guilty of Deliberate, Retaliatory,and Malicious Conduct
February 2, 2015
Elderly Sugar Daddy, His Young Thing, And His Banker / Broker
January 30, 2015
Unreasonable AML Policies Cited In Trading Platform Fraud
January 29, 2015
Wells Fargo Associate Duped By Email Scam
January 28, 2015
Chinese Pharma Private Securities Transactions
January 23, 2015
The Butcher, Baker, Candlestick Maker and Wall Street CPA
January 22, 2015
What The Hell Is A Preferred Alternative Allocation?
January 20, 2015
Stockbroker Clocked For Untimely Reporting of Bankruptcy
January 16, 2015
SIFI Snoopy In Constitutional Dogfight With Feds
January 15, 2015
Jenny Don't Change, Rikki Don't Lose Your Clients' Numbers
January 15, 2015
Supreme Court Reverses TILA Rescission Denial In Countrywide
January 13, 2015
Lien-ing Tower Prompts FINRA Fine And Suspension
January 9, 2015
FINRA Email Settlement Raises More Questions Than Answers
January 8, 2015
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