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Topic List for Va (161 results)
A Lawyer Wearing Two Hats Raises the Ire of the SEC in Motion to Compel Production of Documents
July 27, 2023
Grandchildren Should Have Bought Decoder Ring to Decipher FINRA Arbitration Award
July 17, 2023
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
SEC Tells FINRA to Raise the Gate For Ineligible Expungement Case
March 23, 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
Blackbook Capital Versus FINRA: A Decade of Battle
March 6, 2023
4Cir Remands SEC's Case To District Court For Some Old Fashioned Jury Muddling
February 27, 2023
FINRA Arbitrator Denies Indemnification Citing Firm's Failure to Supervise
February 6, 2023
Removal of FINRA Arbitrator Cited by Schwab and Interactive Brokers in HFT Customer Dispute
January 3, 2023
Unsettling Settlement Puts FINRA's Board of Governors in Troubling Light
August 29, 2022
The Nightmare of a Dream Job on Wall Street
June 7, 2022
FINRA Torches Small Brokerage Firm Over Due Diligence Procedures
May 10, 2022
FINRA Arbitrators Hit Commonwealth Financial with Compensatory and Punitive Damages in Defamation Case
March 31, 2022
Motion to Vacate FINRA Arbitration Award Fails To Raise Federal Jurisdiction
March 22, 2022
One Day In the Life Of Lanny Breuer (the Moscow Anti-Corruption Summit) - Revisited 11 Years Later
March 17, 2022
No-Show FINRA Member Firm Loses Customer Arbitration But Where is FINRA When It Comes To Collecting on the Award?
November 2, 2021
Federal Circuit Court Sustains Registered Rep's Conviction and Sentence of 90 Months
October 18, 2021
FINRA NAC Affirms OHO But Eliminates Heightened Supervision
October 4, 2021
FINRA Sanctions CCO/AMLCO Over Microcap Red Flags And Private Placement Disclosures
July 21, 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
FINRA Fines and Suspends Rep for Undisclosed Bankruptcy in PPM
June 25, 2021
FINRA Censures and Fines Citigroup Global Markets Inc. for Failed Supervisory System
June 17, 2021
The Vanguard Customer Didn't Ask, Didn't Listen, But The Firm's Voicemail Sucks
May 20, 2021
Federal Court Says Second Amended Complaint Looks Too Much Like First Amended Complaint
May 11, 2021
FINRA Enters Into Fair Settlement Involving Customer Loans and Outside Business Activities
April 20, 2021
Federal Circuit Court Says Head Scratchin' Act Not Proof of Securities Fraud Scienter
April 12, 2021
FINRA Gives Credit to Credit Suisse for Not Having A Relevant Disciplinary History
April 8, 2021
GUEST BLOG [In]Securities: The Impossible Dream by Aegis Frumento Esq
March 26, 2021
11 Cir Sees No Breach of Contract by Ohio National in Variable Annuity Commissions Lawsuit
March 22, 2021
GUEST BLOG [In]Securities: Singin' the Varsity Blues, Part 3: Walkin' That Lonesome Valley by Aegis Frumento Esq
March 12, 2021
An Elderly Grandma and Sister Who Wasn't and the New VA Beneficiaries
February 18, 2021
3Cir Says Never Is Better Than Late In FINRA Arbitration Appeal
February 4, 2021
GUEST BLOG [In]Securities: Eggs from the Golden Goose By Aegis Frumento Esq
November 20, 2020
Rep Sentenced to 90 Months in Federal Prison On 21 Counts
October 19, 2020
Ballad of a FINRA Man
October 15, 2020
FINRA Fines and Suspends Merrill Lynch Rep Over Apartment Rentals
October 14, 2020
For FINRA, Relevant Is A Large Gray Pachyderm
September 9, 2020
SEC Evaluates Possibility of Granting Relief During Catastrophic Hurricane Laura
August 27, 2020
Edward Jones Wins TRO Against Former Employee in Solicitation and Trade Secrets Case
August 24, 2020
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
UPDATE: Ir-Rationale FINRA Merrill Lynch EFL Arbitration Decision Cited By Tax Court
August 10, 2020
UPDATE: No Rationale And No Explanation In FINRA Arbitration Decision
July 20, 2020
UPPER CASE MESSAGES!!! EXCLAMATION POINTS!!! AND A FINRA FINE AND SUSPENSION!!!
June 26, 2020
Federal Court Confirms FINRA Arbitration Award But With More Words And Explanations
June 22, 2020
FINRA Arbitrator Sings Signed, Sealed, Delivered and Return to Sender In Default Award
June 9, 2020
FINRA Says Impeccable Merrill Lynch Has No Relevant Disciplinary History
May 19, 2020
Federal Court De-Fangs Merrill Lynch In Class Action Dismissal
April 27, 2020
[In]Securities Guest Blog: Small Worlds by Aegis Frumento Esq
April 16, 2020
It Ain't Over Till It's Over As Martinovich Appeals Continue
April 10, 2020
Registered Rep Goes Down for the Count -- All 21 of Them
April 1, 2020
We Will Prevail: Compassion, Sacrifice, and Endurance
March 20, 2020
Cannabis Science Case Smokes Definition of Brokerage Customer
February 19, 2020
[In]Securities Guest Blog: A Political World by Aegis Frumento Esq
February 13, 2020
Court Rejects Late Breaking Wisdom As Too Late in FINRA Arbitration Appeal
February 7, 2020
Federal Court Troubled By FINRA Arbitration Chair's Non-Disclosure of Conflict
January 7, 2020
Federal Court Transmogrifies FINRA Into State Criminal Prosecutor
December 13, 2019
SEC Says FINRA Doesn't Have To Sell Cheese At Its Arbitration Shop (or something like that)
October 25, 2019
Texas Two-Step: 2 FINRA Arbitrations, 2 Texas State Courts, and 2 Texas Federal Courts
October 16, 2019
No Rationale and No Explanation In FINRA Arbitration Decision
October 8, 2019
[In]Securities Guest Blog: Singin' the Varsity Blues, Part 2: Whose Intentions Are Good by Aegis Frumento
October 3, 2019
Federal Courts Affirm Forgiveness of Barclays Promissory Notes Repayment
September 23, 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
Barclays' Bank Shot Caroms Into Federal Court Reprimand
August 8, 2019
Some BS from FINRA in Small Firm AWC
July 8, 2019
FINRA Foundation To Empower the Underserved But Batteries Not Included
June 28, 2019
GUEST BLOG: Earning It, For Our Brothers In Arms by Aegis Frumento, Esq
May 30, 2019
GUEST BLOG: . . . and I Feel Fine by Aegis Frumento Esq
May 16, 2019
GUEST BLOG: The Game of Coins by Aegis Frumento Esq
May 9, 2019
All Voya FINRA AWCs are Not Relevant Except When They Are
April 24, 2019
Court Suspends Former NYSE Arbitration Counsel and FINRA Arbitrator
April 10, 2019
FINRA Arbitration Asks If Conservative Strategy Was Too Conservative
April 2, 2019
Former Vanguard Employee Terminated For "Work Avoidance" Fails To Show At His Expungement Hearing
March 26, 2019
GUEST BLOG: Singin' the Varsity Blues: Leave Them Kids Alone by Aegis Frumento Esq
March 21, 2019
GUEST BLOG: OneCoin's Whorl of Woe by Aegis Frumento Esq
March 14, 2019
FINRA Arbitrators Award Over $569,000 In Damages For In And Out Transfers
February 22, 2019
GUEST BLOG: To Hold and Have Not by Aegis Frumento Esq
February 14, 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
Debating the Riddle Wrapped In An Enigma of FINRA Intra-Industry Arbitration
February 1, 2019
Hot Nepal Real Estate Market Burns Stockbroker With FINRA Fine and Suspension
January 11, 2019
Ir-Rationale FINRA Merrill Lynch EFL Arbitration Decision Cited by Tax Court
December 31, 2018
Customer Withdrawals and Vacations At Heart of Stockbroker Expungement
November 6, 2018
Date of Birth on Driver License Crashes Stockbroker Career
August 28, 2018
10 Year Employee Forgivable Loan Battle Frustrates UBS
August 13, 2018
GUEST BLOG: Securities Fraud? Or Just Bullshit? by Aegis Frumento, Esq
August 7, 2018
You Owe Me! A Referral Fee FINRA Arbitration Battle
August 3, 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
UPDATE:Non-Attorney Representatives Involved In FINRA Arbitration Blight
July 23, 2018
Variable Annuities And Wall Street's Jurassic World
June 25, 2018
2 Lies to FINRA Add Up to 1 Bar
June 4, 2018
FINRA Stretches Definition of Participating in a Private Securities Transaction
May 18, 2018
Was That Stockbroker's Customer Blowing Steam Or Making a Complaint?
May 11, 2018
FINRA Orders Partial Restitution in Activity Letter Settlement
May 8, 2018
Disturbing FINRA Settlement Involving Elderly Client With Dementia
March 13, 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
FINRA's $10,000 Expungement Price-Tag To Clear A Victim's Name
January 5, 2018
Widow Lacks Standing In FINRA Arbitration Involving Husband's IRA
December 8, 2017
FINRA Arbitrator Gets By With A Little Help of A Friend
November 30, 2017
Spoofing Email Sends Payment To Minneapolis, Shanghai, and Bremen
November 21, 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
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
FINRA Disciplinary Settlement Raises Relevancy of Any
July 10, 2017
FINRA Buries the Lede With FAS Rep Settlement
June 26, 2017
Bill Singer Submits Rare FINRA Comment
June 1, 2017
FBI Files Cite Nuclear Reactor In Home Freezer
April 27, 2017
FINRA's Three Handed Monster of a Settlement
April 25, 2017
High Frequency Trading: Is Regulation the Answer?
April 19, 2017
FINRA Arbitrators Find Everyone At Fault In Customer Case
April 14, 2017
SEC Files Dramatic Layering Case
March 10, 2017
UPDATE: FINRA Punches Ticket of Rep Over Office Parking Validation
March 6, 2017
FINRA Punches Ticket of Rep Over Office Parking Validation
February 27, 2017
NASD Charges Member For Pursuing Research Biz. Or Was That FINRA?
February 9, 2017
FINRA Rule 3280 Private Securities Transactions Analysis by Bill Singer
December 30, 2016
Former Wells Fargo Rep Shocks Firm With Her Stunning Arbitration Win
November 21, 2016
FINRA Faked Out By Move
November 14, 2016
FINRA Sanctions Lack of Proactive Compliance
November 3, 2016
SEC Sends Second Valentine Message Not Filled With Love
October 28, 2016
SEC ALJ Sees the Relevant in the Room
October 20, 2016
Wall Street Regulation Understood Backwards
October 7, 2016
Customer Twice Victimized By Broker's Impersonation and Online Disclosure
September 29, 2016
Stockbroker Slips Off Plymouth Rock Movie Studio Deal
September 22, 2016
The Best Offense Is A Good Defense
September 9, 2016
Cyber Security for Financial Firms
September 1, 2016
Compliance Is A Sentence, Not A Word
August 26, 2016
FINRA Settlement Enters the RIA and BD Jungle
August 23, 2016
Wally and Giovanni: New FBI Crisis Response Canines
July 20, 2016
Lonely Game of Masquerade As FINRA Hides Two Entire Countries
June 29, 2016
Take What You Have Gathered From Coincidence In Oral Advisory Fee Agreement
June 22, 2016
FBI Stay-Behind Plan For Soviet Invasion of Alaska
June 3, 2016
Columbia Business School Professor Gets Prison For investor Fraud
May 18, 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
FINRA Arbitrators Deal With Vague And Ambiguous Employment Agreements
April 1, 2016
UPDATE: READ FULL-TEXT Apple Inc Motion To Vacate
February 25, 2016
FINRA Email AWC Raises Question About Regulatory Hypocrisy
January 29, 2016
The SEC Fears The Email Privacy Act
December 3, 2015
Stockbroker Fined and Suspended Over Limited Partnerships and Notes
October 21, 2015
FINRA Hearing Panel Dismisses Private Offering Case
October 16, 2015
A Little Biz On The Side Gets Rep Fined And Suspended
October 14, 2015
UPDATE: Federal Appeals Court Reverses Goldman Sachs Arbitration
October 2, 2015
Stockbroker Wins Expungement Over Annuities
September 4, 2015
The Ol' Variable Annuity Switcheroo
September 3, 2015
Stockbroker Fired and Barred For Role With Privately Held Company
August 24, 2015
Former Deutsche Bank LatAm Transactions Head Wins Millions In Whistleblower Retaliation Case
August 10, 2015
Major Fine Slams FINRA Firm For Supervisory Violations
July 22, 2015
What Would Hillary Do? FINRA Cites AOL Email Account And Gold / Bank Investments
May 27, 2015
FBI Online Vault Opens For 2015
May 11, 2015
Online Coupon Business Cuts Registered Person
March 6, 2015
Supervisor Fined, Suspended, and Barred In Ponzi Fiasco
March 4, 2015
Chinese Pharma Private Securities Transactions
January 23, 2015
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Unregistered
Fee
Conflicts
Rule 1031
Game of Thrones
whistleblower
Initials
Perjury
Investment Adviser
Howey
Harassment
Vaccarelli
Led Zeppelin
Broke And Broker
Judgments
Traders
Exhaustion Doctrine
SIE
Success Fee
TradeStation
ADR