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UPDATE: The SEC's Netflix/Reed Hastings Policy and @GaryGensler and @SECGov and the SIM Swap Hack
January 23, 2024
SEC's X Account Compromised Via Phone Number and Lack of Two-Factor Authentication
January 10, 2024
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
Double Standards In State Regulation and Self Regulation of Wall Street's Large Firms
November 20, 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
2023 FINRA Election Boycott: Awaiting the Tally
September 6, 2023
UPDATE: Bill Singer, Esq. Files Form TCR with SEC Seeking Investigation of FINRA Election Interference
August 29, 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
SEC Chief Accountant Lays a Cobblestone on the Road to Hell Paved with Good Intentions
July 28, 2023
FINRA Has Some 'Splaining To Do As Arbitrators Deny Gender Discrimination Claims
July 24, 2023
Lord Voldemort on Wall Street: When DOJ, SEC and FINRA Will Not Name Names
July 10, 2023
SEC Sends FINRA Expungement Back to the Future
June 12, 2023
FINRA Took Wells Fargo Stockbroker Outback to a Bar and SEC Says It's The Last Round
June 1, 2023
SEC Orders FINRA to Raise Its Arbitration Forum Gate For Expungements
May 30, 2023
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
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 Bars former Securities America Rep For Conversion
April 21, 2023
Time to Call False Start Penalty Against SEC Reg ATS Rulemaking
April 19, 2023
FINRA Arbitrators Award Damages Against Morgan Stanley In Case Alleging Customer Lacked Mental Capacity
April 11, 2023
In 2023 FINRA Settles With Goldman Sachs Over Mismarked Short Sales Dating Back to 2015
April 5, 2023
GUEST BLOG: [In]Securities: The Influencers: The SEC Grounds Stars' TRX by Aegis Frumento Esq
March 31, 2023
SEC Tells FINRA to Raise the Gate For Ineligible Expungement Case
March 23, 2023
Federal Court Deems FINRA Absolutely Immune in Expungement Lawsuit
February 28, 2023
Lira v. Edward Jones: An Ironic and Cynical Tale of Alleged Discrimination, Harassment, and Retaliation
February 9, 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
Imagine That a $10 Million FINRA Arbitration Claim Settles for $100,000
January 6, 2023
FINRA Can't Wait Forever Even Though Morgan Stanley Wants It To
December 27, 2022
FINRA Sued in the Wrong Place At the Wrong Time Affirms Federal Circuit Court
December 21, 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
SEC Chair Gensler Speaks About Shakespeare and Hammurabi While FTX Dissolves
November 15, 2022
FINRA Taxonomy News Release Isn't Newsworthy
October 28, 2022
The Problem for A Merrill Lynch Registered Rep Seeking the Expungement of a Settled FINRA Arbitration
October 25, 2022
Frustrated Interactive Brokers Customer Can't Get No Satisfaction With Tesla Order
October 21, 2022
FINRA Takes Wells Fargo Stockbroker Outback to a Bar for a Second Round
October 20, 2022
Beating a Dead Statutorily Disqualified Horse on Wall Street
October 17, 2022
Wells Fargo Wins FINRA Arbitration Against Former Rep With Three On And Off Lawyers
September 21, 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
10Cir Reinstates in Part La'Tonya Ford's Retaliation /Hostile Work Environment/Constructive Discharge Claims Against Jackson National
August 24, 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
FINRA Arbitration Panel Finds TD Ameritrade Grossly Negligent With Form U5
August 15, 2022
Federal Court Denies Legend Securities President Bankruptcy Discharge of FINRA Customer Arbitration Award
August 10, 2022
Equity And Justice Prevail In Breathtaking FINRA Expungement Award
August 1, 2022
Former Wells Fargo Advisors Senior Vice President Moves Federal Court to Undo 2017 FINRA Settlement
July 27, 2022
Fidelity Brokerage Services Has Two Trains Runnin' in FINRA Arbitration and Federal Court
July 25, 2022
UBS Sued in Federal Court Over Form 1099 Reporting
July 7, 2022
Charles Schwab SIP Robo-Adviser Cited In FINRA Arbitration
July 5, 2022
FINRA Torches Small Brokerage Firm Over Due Diligence Procedures
May 10, 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
FINRA Arbitration Panel Slams Cetera Advisors with $3 Million Defamation Damages
April 29, 2022
Former Morgan Stanley Rep Should Count His FINRA Settlement Blessings
April 11, 2022
FINRA Sued in the Wrong Place At the Wrong Time
April 5, 2022
Stockbroker Wins Expungement of Two Edward Jones Customer Complaints
March 24, 2022
Three-Handed Dilemma Grabs NYAG, NYPPEX, Laurence Allen, and FINRA
March 1, 2022
Federal Court Denies J.P. Morgan Securities Expedited Discovery in Solicitation Case
February 23, 2022
Robinhood Hit With Damages in a Say-Nothing FINRA Arbitration Award
February 17, 2022
Federal Court Can't Find Any Basis For FINRA Arbitration Decision In HSBC Managing Director Case
February 10, 2022
FINRA Customer Claimant Says Arbitrators Left Out Zeros In Award
February 8, 2022
JP Morgan Securities' Regional Director's Affidavit Fails to Carry Day in TRO for Impermissible Solicitation
January 25, 2022
How Many FINRA Enforcement Lawyers Does It Take To Prosecute a Default Case?
January 10, 2022
Appellate Court Affirms $11.5 Million in Damages and Costs in Employment Defamation Case
November 23, 2021
Veteran Stockbroker Sues For Unjust Termination Involving Sales Goals and Outside Business Activities
November 19, 2021
Two of Three FINRA Arbitrators Ironically Disappear In Unexplained Expungement Award
November 16, 2021
There's Something Happening Here (at a FINRA Arbitration ) But What It Is Ain't Exactly Clear
November 8, 2021
No Margin For Error With Options Expiration
November 1, 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
There Was Little She Could Do -- So Why Was This BOM's Record Marked Up?
October 20, 2021
The FINRA Expungement of A Customer Complaint That Was Not a Complaint Or From A Customer
October 11, 2021
The Wheels on the Bus Go Round and Round and Drive Over A Wall Street Career
September 16, 2021
The SEC Is Asked to Go Back To The Future to Rewrite History
September 2, 2021
FINRA Arbitrator Pens Perfect Rationale in UBS Expungement Award
August 23, 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 Arbitrators Put It There In Disputed AMZN Options Trade
July 28, 2021
FINRA Arbitrators Directly Nullify Indirect Non Solicitation Agreement
July 13, 2021
GUEST BLOG [In]Securities: Tell Me Lies by Aegis Frumento Esq
July 9, 2021
Angry Variable Annuity Customer Vexatiously Pursues His Legal Rights
July 6, 2021
Veteran Journalist Susan Antilla Discomforts Wall Street Over Racism
June 22, 2021
The TD Ameritrade Stockbroker and The Customer Were Friends Until Options Trading Came Between Them
June 8, 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
Former Raymond James Rep Wins One and Loses One in Employment Disputes
May 6, 2021
FINRA Fear and Wall Street Trembling and The Financial Sickness Unto Death
April 29, 2021
First Trades, First Dollars, and the NYSE Celebrates Moments
April 13, 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 [In]Securities: The Impossible Dream by Aegis Frumento Esq
March 26, 2021
FINRA Charges Operations Professional $5,000 for Sushi
March 17, 2021
The Grandfather FINRA OBA Paradox
March 15, 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
High Standards In Low Places on Wall Street
March 5, 2021
As Time Goes By At FINRA And TradeStation
March 4, 2021
The Saga of FINRA Versus Kimberly Springsteen-Abbott
March 1, 2021
SEC Cites League of Extraordinary Advisers In Denying Waiver of Bar
February 17, 2021
Former West Point Cadet Blows Up Wall Street Career
February 10, 2021
FINRA Expungement Takes on Aspects of a Psychiatric Case
February 2, 2021
Former Merrill Lynch / BOA Employee Wins Dramatic FINRA Expungement
January 29, 2021
Negative Consent Morgan Stanley CARE Arbitration Program Sustained by Court
January 21, 2021
FINRA Fines and Suspends Rep for Taking or Not Giving A Crap
January 19, 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
Moving the Goal Line In a FINRA Expungement Arbitration
December 30, 2020
Lawyer Says His Compulsive Hoarding Fostered Failure to Timely Pay Taxes
December 16, 2020
Misdirection Leaves COR Clearing Without Insurance Reimbursement
December 9, 2020
Customer's Annuities Lawsuit Backfires During FINRA Arbitration
December 4, 2020
The LPL Stockbroker, The Customer Lawsuit, The Expungement Arbitration, and The SLAPP Lawsuit
December 1, 2020
Frail, Ineffective OCIE Statement About Complex Financial Products
November 23, 2020
FINRA Gives Rep the Business Over Personal Expenses
November 17, 2020
Federal Court Dismisses Challenge to Six Year Old FINRA AWC
November 11, 2020
The Saad Saga Returns to Federal Court
November 9, 2020
[In]Securities Guest Blog: A Different Kind of Truth By Aegis Frumento Esq
October 23, 2020
FINRA Fines Small Firm And its Owner For Misclassification of Expenses
October 21, 2020
Ballad of a FINRA Man
October 15, 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
[In]Securities Guest Blog: tZero/No Limit by Aegis Frumento Esq
September 25, 2020
Pro Se Public Customer Alleges FINRA Arbitrators' Misconduct in Schwab Case
August 25, 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
UPDATE: Ir-Rationale FINRA Merrill Lynch EFL Arbitration Decision Cited By Tax Court
August 10, 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
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: Manicula's Gopher by Aegis Frumento Esq
June 25, 2020
Marilyn Booker v. Morgan Stanley & Co., LLC, James Gorman, and Barry Krouk: FULL TEXT COMPLAINT
June 17, 2020
Stockbroker Expungement Grapples With Death and Taxes in Time of Plague
June 5, 2020
Troubling Disconnect and Lack of Appropriate Explanation Found in Scapegoat Defamatory Form U5 FINRA Arbitration
June 1, 2020
Credit Suisse Stockbroker Wins Expungement of Suspicious Customer Complaint
May 20, 2020
Federal Court De-Fangs Merrill Lynch In Class Action Dismissal
April 27, 2020
IRA Dispute Offers a Bleak House for Fidelity Stockbroker
April 20, 2020
Texas Court of Appeals Reverses $3 Million TD Ameritrade Customer Victory
April 15, 2020
No Membership Port In A Regulatory Storm For Newport Coast Securities
April 7, 2020
Federal Courts Okay FINRA Unexplained Arbitration Decision
March 30, 2020
The Pen Is Mightier Than The Sword But Don't Bring Either Into A FINRA Test Center
March 18, 2020
Bill Singer's Annual Warning: Disclose Your Tax Liens
March 4, 2020
The Saga of FINRA Versus Kimberly Springsteen-Abbott
February 10, 2020
FINRA Arbitrator Invokes Ineligibility Sua Sponte To Bar Expungement
February 3, 2020
[In]Securities Guest Blog: Drunk on a Plane by Aegis Frumento Esq
January 16, 2020
Cause something is happening and you don't know what it is. Do you, FINRA?
January 8, 2020
FINRA Needs To Better Coordinate Its Admonition of Statutory Disqualification
January 3, 2020
[In]Securities Guest Blog: Not Dead Again Today? by Aegis Frumento Esq
December 19, 2019
Customer Carries 31 Year Old Grudge Into Broker Expungement Case
December 11, 2019
Fee Based Rep Seeks Expungement Over Commissions He Never Charged
December 4, 2019
FINRA Arbitrator Saves Innocent Stockbroker Caught In the Middle By Settled Customer Complaint
December 2, 2019
[In]Securities: Who'll Be Watching Whom? by Aegis Frumento Esq
November 21, 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
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
The Illogical Logic of FINRA's Willful Non-Disclosure of Tax Liens
October 11, 2019
No Rationale and No Explanation In FINRA Arbitration Decision
October 8, 2019
Getting the Girl to Do It On Wall Street
October 4, 2019
[In]Securities GUEST BLOG: Fantasy by Aegis Frumento Esq
September 26, 2019
FINRA Arbitrators Angered By Raymond James Tactics
September 25, 2019
Citigroup's Cryptic Cryptocurrency Case
September 20, 2019
[In]Securities GUEST BLOG: Hit the Road, Jack by Aegis Frumento Esq
September 19, 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
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
Morgan Stanley Marks Up Stockbroker's Record Over Annuity Complaint by Customer's Nephew
August 29, 2019
UPDATE: SEC Sustains Saad Sanction Saga
August 26, 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
Pro Se Customer Alleges Unsuitability of Self Directed Put Sales
August 13, 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
If It Wasn't For Bad Luck, I Would Not Have No Luck At All in FINRA Arbitration
July 30, 2019
Another Small Fish Fry on Wall Street Reeks of FINRA Insincerity
July 22, 2019
FINRA Takes Wells Fargo Stockbroker Outback to a Bar
July 15, 2019
FINRA Issues An Extraordinary and Cynical Release
July 12, 2019
Customer's Wife Rescues Former Edward Jones Broker In Expungement Case
July 10, 2019
This Is Not A Pipe. This Is Not A Final, Appealable Order
July 1, 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
UBS Stockbroker Seeks Expungement of ARS Claim That Firm Says Wasn't Made
June 14, 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
Wells Fargo Found Guilty of Defaming Stockbroker for Storing Customer Property
June 3, 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
Something's Happening With A Discrimination Case But You Don't Know What It Is, Do You Mr. Jones?
May 22, 2019
Member Firm Refuses to Produce Settlement Agreement in FINRA Expungement Arbitration
May 20, 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
Bottle of White, Bottle of Red, Perhaps An Assisted Living Bond Instead at FINRA Arbitration
May 3, 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
FINRA Arbitration Asks If Conservative Strategy Was Too Conservative
April 2, 2019
GUEST BLOG: Bitwise and Fund-Foolish by Aegis Frumento Esq
March 28, 2019
Former Vanguard Employee Terminated For "Work Avoidance" Fails To Show At His Expungement Hearing
March 26, 2019
GUEST BLOG: OneCoin's Whorl of Woe by Aegis Frumento Esq
March 14, 2019
Morgan Stanley Female Rep Survives Former Advisor Program Arbitration
March 11, 2019
Pro Se Stockbroker Wins FINRA Expungement of Merrill Lynch Settled Customer Complaint
March 6, 2019
Charles Schwab Sues Customers Over XIV Debit Balance
February 25, 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
Sexism on Wall Street: New Chapter, Same Book
February 8, 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
Expungement Ten Years in the Making For Merrill Lynch Stockbroker
January 22, 2019
GUEST BLOG: Tucker Carlson, AOC, and the 70% Tax Rate by Aegis Frumento Esq
January 10, 2019
The Preemptive EFL Gambit Starts Anew On 2019 FINRA Arbitration Chessboard
January 8, 2019
Ir-Rationale FINRA Merrill Lynch EFL Arbitration Decision Cited by Tax Court
December 31, 2018
Scottsdale Sues Rep For Contacting FINRA But FINRA Bars Him For Not Testifying Against Firm
December 26, 2018
E*Trade Loses Shocking FINRA Margin Call Arbitration
December 19, 2018
The Complaining Customer Is Dead, The File Is Lost, But A Stockbroker Battles On for Expungement
December 7, 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
GUEST BLOG:The SEC Plucks a Chicken by Aegis Frumento Esq
November 29, 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
Stockbroker Wins Expungements of Decade Old Customer Complaints
November 20, 2018
Stockbroker Victimized By Mother In Law Complaint About Stolen Funds
November 16, 2018
Legend-ary FINRA Public Customer Arbitration
November 14, 2018
FINRA Bars Analyst For Biting Off More Than She Could Chew
November 13, 2018
Customer Withdrawals and Vacations At Heart of Stockbroker Expungement
November 6, 2018
Gregor Samsa Awakes As A FINRA Unnamed Party
November 2, 2018
E*Trade Best Execution Case Reaches Federal Appeals Court
October 30, 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
Ameritas Stockbroker Wins Snowball In Hell Expungement
October 22, 2018
State Farm Stockbroker, His Relative, a Faked Insurance Policy, Travel Perks, Job Loss, and FINRA
October 17, 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
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
The Stockbroker, His Wife, 3 Customers, 3 Healthcare Proxies, 1 Trust, and 1 IRA
October 5, 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
UPDATE: 11Cir Sustains SEC and FINRA On Willful Failure to Disclose Tax Liens
September 21, 2018
Deutsche Bank Securities Hit With $2 Million Award in FINRA Expungement Case
September 14, 2018
RBC Stockbroker Wins Expungement of ARS Complaints
September 12, 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
FINRA Arbitrators Admit FINRA SEC Regulatory Settlements In UBS Puerto Rico Case
September 4, 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
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
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
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
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
5% Solution In FINRA Expungement Arbitration
July 13, 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
Customer and Brokerage Firm Agree: I Wuz Robbed!
July 1, 2018
The Double Edged Sword of Facts And A FINRA Expungement
June 28, 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 ALJ Denies Disqualification of Wedbush Lawyer
June 8, 2018
GrandFund in a FINRA Grand Funk
June 5, 2018
Feuding Stockbrokers Set Stage for Expungement of Cookie Cutter Customer Complaints
June 1, 2018
FINRA Fines And Suspends Merrill Lynch Rep for Check Kiting
May 29, 2018
Batting 500 In FINRA Expungement
May 23, 2018
The Disqualified Stalking Felon Stockbroker, The Texting Stockbroker, The Missouri Waltz, and FINRA
May 17, 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
Money For Nothing Leaves Stockbroker in Dire Straits With FINRA
May 9, 2018
FINRA Orders Partial Restitution in Activity Letter Settlement
May 8, 2018
FINRA Hardship Waiver Hard To Find
May 4, 2018
Pro Se Employee Eviscerated in FINRA Employment Expungement Arbitration
May 3, 2018
Former Ameriprise Rep Wins Split Decision In FINRA Arbitration
April 25, 2018
Pyrrhus, Battle of Asculum, a Stockbroker, FINRA, and a Pyrrhic Expungement Victory
April 19, 2018
My Way Rules In Pro Se Expungement Case Against J.P. Morgan
April 17, 2018
LPL, RR, BD, IRS, U5, FINRA, and AWC
April 10, 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
Body and Estate and Soul and a Counterfeiter and a Murderer and Merrill Lynch
March 28, 2018
Merrill Lynch Wins Puerto Rico Bond Arbitration Via Counterclaim
March 23, 2018
Branch Office Agreement At Heart of Industry Arbitration
March 21, 2018
FINRA Arbitrators Deem CRD / U5 Disclosures Defamatory
March 19, 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
CCO Fined and Suspended For Amending Her Own U5
March 8, 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
Wells Fargo Sustains Stunning Promissory Note Loss
February 26, 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
Gonna Take My Arbitration Problem to the United Nations
February 13, 2018
Rankles Raised In FINRA Expungement
February 8, 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
Defined Benefit Pension Plan Dispute Taxes Stockbrokers and Brokerage Firms
January 30, 2018
Abuse And Harassment On Wall Street
January 25, 2018
Stockbroker Expunges 7 Year Old UBS Customer Suitability Complaint
January 24, 2018
FINRA Sanctions Charitable Remainder Trust Pitch
January 22, 2018
UBS Complex Director Wins Margin Call Battle
January 19, 2018
FINRA Arbitrators Award $140,000 In Employee Defamation Case
January 11, 2018
Rep Emails Self 1,300 Account Numbers And FINRA Comes A Knockin'
January 9, 2018
FINRA's $10,000 Expungement Price-Tag To Clear A Victim's Name
January 5, 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
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
FINRA Arbitrator Holds Public Customer Claimant In Contempt
December 13, 2017
Widow Lacks Standing In FINRA Arbitration Involving Husband's IRA
December 8, 2017
Bleak Marshall Family Drama Hits FINRA Arbitration
December 4, 2017
FINRA Arbitrator Gets By With A Little Help of A Friend
November 30, 2017
CEO CCO FINOP Fined And Suspended Over Classification of Personal Expenses
November 20, 2017
Clever Stipulation In FINRA Expungement Arbitration
November 17, 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
97 Year Old Client Names Stockbroker Executor and Beneficiary
November 10, 2017
SEC Nixes Stay of Statutory Disqualification
November 8, 2017
Federal Appeals Court Deems FINRA Deputy of the Federal Government
November 6, 2017
Was That Customer Email a Discussion, Grievance, or Complaint?
November 2, 2017
$3 Million Awarded In UBS FINRA Employment Dispute
October 30, 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
SEC Saad Saga Still Slogs Still Sags
October 16, 2017
Former JP Morgan Employee Represents Himself in Paternity Leave Case
October 12, 2017
Fixer Upper Biz Puts Stockbroker In Need of Career Renovation
October 9, 2017
SEC Rejects Stockbroker Appeal of 2006 NASD Bar
October 5, 2017
FINRA Borrowing Settlement Involves Friendly 96 Year Old Customer
October 4, 2017
SEC Sustains FINRA On Willful Failure to Disclose Tax Liens
October 2, 2017
FINRA Arbitrator Unimpeded By Defaulting Brokerage Firm
September 13, 2017
RBC Stockbroker Father Died and His Son Inherits Unhappy Customer
September 12, 2017
PNC Loses Wrongful Termination FINRA Arbitration
September 1, 2017
FINRA Arbitrators Rewrite Wells Fargo Termination Language
August 31, 2017
What's the Frequency FINRA?
August 25, 2017
FINRA Public Customer Arbitration Decision Becomes A Legend
August 23, 2017
Negligent Market Manipulation In OTC Stock Promotion
August 18, 2017
SG Americas Employee Wins (Sort Of) FINRA Employment Arbitration
August 15, 2017
Childbirth and Medical Emergency Impact FINRA Arbitration
August 14, 2017
Federal Prosecutors Throw In Towel Against Benjamin Wey
August 9, 2017
Chia Hair Plugs and 100% Principal Protected Lehman Brothers Notes
August 3, 2017
Bond Trader Barred by FINRA Wins Arbitration For Unpaid Wages
July 26, 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
$1 A Day Meal Expenses Brown Bags FINOP
July 19, 2017
The Customer Settles And The Stockbroker Wins An Expungement
July 13, 2017
Testing FINRA's Test Center Patience
July 11, 2017
Rep Wins Expungement of 11 Year Old Complaint At Defunct Brokerage Firm
June 29, 2017
FINRA Arbitrators Can't Explain
June 28, 2017
VXX Vice Versa Vexes Veteran Stockbroker
June 21, 2017
Benjamin Wey Wins Suppression Order In Securities Fraud Criminal Case
June 19, 2017
FINRA's Willy Nilly Tax Lien Settlements
May 25, 2017
Tell Me Why: Unanswered Questions In FINRA Expungement
May 17, 2017
Customer Loses $6.6 Million VirnetX Case Against JP Morgan
May 11, 2017
PNC Employee Wins $1.8 Million Wrongful Termination Award
May 2, 2017
Stockbroker Expunges Complaint About Profitable Investment
May 1, 2017
Misconduct Bricks In FINRA Wall of Statutory Disqualification
April 26, 2017
Merrill Lynch Employee Flies First Class After Mystery Man Misuses Corporate Card
April 21, 2017
FINRA Arbitrators Find Everyone At Fault In Customer Case
April 14, 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
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
Chile Client Cases Chill FINRA
March 16, 2017
Inconsistent FINRA Findings of Willful Nondisclosure Persist
March 13, 2017
FINRA Cites Pennystock Sales By Feltl Rep While Customers Buying
March 10, 2017
FINRA Expungement Arbitration Is A Tale Told By An Idiot
February 21, 2017
The Will, Disabled Aunt, Stepkids, Executor Nieces, And Stockbroker
February 14, 2017
GUEST BLOG: This Way to Financial Services Reform
February 6, 2017
FINRA Arbitration Saga Of the Unnamed and Unheard Lands in Federal Court
January 27, 2017
SEC Slams Brakes On FINRA In A Hurry To Get Things Done
January 25, 2017
Stockbroker Back Dated Audited Partnership Agreements For Tax Preparer Clients
January 23, 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
UPDATE: Scottsdale Sues FINRA In Edgy Effort To Halt Disciplinary Case
December 27, 2016
FINRA Panel Sides With Zions Direct In Employee Bidding Policy Wrongful Termination Case
December 22, 2016
SEC Charges Adviser Stockbroker With Wheel Turnin' Round And Round Fraud
December 16, 2016
Edward Jones Discriminated Against Female Employee
December 14, 2016
Stockbroker Excel Error And Clients Liquidation Losses
December 8, 2016
SEC Amicus Brief Raises Uncomfortable Questions About SRO Immunity
December 1, 2016
Whatcha See is Whatcha Get In FINRA Settlement
November 16, 2016
FINRA Settles Non Disclosure Of Tax Liens Without Finding Willfulness
November 11, 2016
Merrill Lynch Defamation Ruins Stockbroker Career
November 9, 2016
Trade Error Haunts Stockbroker
November 8, 2016
FINRA Sanctions Lack of Proactive Compliance
November 3, 2016
Dementia At Issue In Wells Fargo Arbitration
November 2, 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
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
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
Texas State Senator Rodney Ellis Wins FINRA Employment Arbitration
October 4, 2016
NY Life Rep Crosses Arbitration Rubicon With Expungement Case
September 28, 2016
Defamed PNC Employee Wins Dramatic Expungement
September 20, 2016
PNC and Wells Fargo Stockbroker Wins Customer Complaints Expungement
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
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
SEC Begins Sexual Healing of Public Relations Sex Machine
September 8, 2016
Fired Nationwide Rep Wins FINRA Expungement
September 7, 2016
California Court of Appeal Says FINRA Expungement Hearing Unfair
September 1, 2016
FINRA Arbitration Soccer Match Ends With Penalty Kicks
August 24, 2016
Janus Distributors Slammed In Employment Termination Arbitration
August 16, 2016
BREAKING NEWS: 2 Circuit Denies Criminal Expungement
August 11, 2016
The Stockbroker, Her Cancer Patient Friend and Customer, And The Estate Complaint
August 10, 2016
Morgan Stanley Humiliated in $10 Million Employee Loan Arbitration
August 5, 2016
Double Trouble On Wall Street
August 4, 2016
Brokerage Firm Demands $2.6 Million Damages From Former Employees
July 28, 2016
Wells Fargo Customer Wins $181,000 For Failure to Cash Out
July 25, 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
Multiple Max Bialystocks in Movie Scam Indictment
July 6, 2016
Lonely Game of Masquerade As FINRA Hides Two Entire Countries
June 29, 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
Dirty Deeds Done Dirt Cheap On Wall Street
June 2, 2016
BREAKING NEWS: Bank of America Hit In Lurid Gender Pay Bias Lawsuit
May 17, 2016
FINRA Wins Scottsdale Capital Advisors Motion to Dismiss
May 9, 2016
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
How Can I Be Sure In A FINRA World That's Constantly Changing?
May 2, 2016
FINRA Sanctions Firm and CCO in Texting Settlement
April 28, 2016
Suspended HSBC Rep Pasted Clients Names Over His Utility Bill
April 15, 2016
E*Trade Employee Wins Form U5 Expungement
April 14, 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
Wall Street Banker's Travel Expenses Send Career Into Ditch
April 6, 2016
Scottsdale Sues FINRA In Edgy Effort To Halt Disciplinary Case
March 28, 2016
Wall Street Employee Fined and Suspended For Being In 2 Places At Same Time
March 21, 2016
Borrowing From Customer, Tax Liens, Settling Away,Social Media, And More!
February 26, 2016
Texas Investor Guide: Strategies for Investing Wisely and Avoiding Financial Fraud
February 12, 2016
US Bancorp Investments Employment Dispute Ends With Mixed Result
February 11, 2016
The Houston Terrorist and The Order On Ineptitude
February 9, 2016
FINRA Fines and Suspends Stockbroker Over Executor Role
January 27, 2016
Mexico Security Concerns Posed Postal Risk For Brokerage Customer
January 11, 2016
Rude And Divisive Barclays Employee Loses Note Case
January 8, 2016
Did Registered Rep Voluntarily Quit Or Was She Fired? Arbitrator Says Neither.
January 4, 2016
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
That Customer Complaint May Not Be A FINRA Reportable Event
December 4, 2015
Yabba Dabba Doo In Unbeknowst FINRA Embezzlement AWC
December 2, 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
CASE IN POINT Video Interview with host BILL SINGER and guest Brittany Weiner, Esq.
November 17, 2015
$4.6 Million Elderly Ponzi Shell Game Ends With SEC Settlement
November 16, 2015
VXX Vapid Hedge Rubs FINRA The Wrong Way
November 5, 2015
Brokerage Customer Sues Because X Minus X Equals Zero
October 26, 2015
Sad Saad Saga Sought Second SRO / SEC Shot
October 15, 2015
Another Wall Street Fall Girl Takes A FINRA Flop
September 25, 2015
Walking Through the FINRA Expungement Process
September 24, 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
Folded Note Found On Test Center Floor
September 14, 2015
Stockbroker Exonerated After Nephews and Niece Accuse Her of UTMA Fraud
September 11, 2015
Stockbroker Wins Expungement Over Annuities
September 4, 2015
Stockbroker Wins Customer Expungement Arbitration
August 21, 2015
Morgan Stanley Sex Discrimination Arbitration Ends In Federal Court
July 29, 2015
Software Glitch Overwhelms Firm's Email Review
July 23, 2015
Sexual Orientation Harassment And Discrimination In Stifel Promissory Note Case
July 13, 2015
UPDATE: Klaatu Barada New York Stock Exchange. 9 Year Old Saves NYSE SEE VIDEOS
July 8, 2015
Grexit, Laurel & Hardy, George Bernard Shaw, And Bob Dylan
July 6, 2015
The Goose And Gander Of Forex Fraud Hypocrisy
July 2, 2015
Tryin' To Loosen My Load, I've Got 7 SEC Lawyers On My Mind
June 26, 2015
Time Has Come Today In Stockbroker Expungement
June 24, 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
Failed Email Review Offers Example Of Hidden Compliance Costs
June 5, 2015
Hundreds of Thousands Defrauded In $50 Million Text Messaging Scam
May 29, 2015
Study Guide Fails A Wannabe Stockbroker
May 29, 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
FINRA Wrestles With Serious,Aggravating, And Egregious Filing Failures For Forms U4 and BD
May 14, 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
BREAKING NEWS: Supreme Court Vacates And Remands Mach Mining EEOC Case
April 29, 2015
FINRA Arbitrators Expunge Customer Settlement Contribution From Merrill Lynch Broker
April 22, 2015
FINRA Arbitrators Say Ineffective Fiduciary Did Not Breach Fiduciary Duty
April 17, 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
The Amazing Mobius Strip Of Wall Street Regulation
March 18, 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
SEC Operation Shell Expel Drains Reverse Merger Cesspool
March 2, 2015
After Credit Card Expense Suspension, Stockbroker Barred By Liens And Judgments
February 27, 2015
Broker Wins FINRA Arbitration Expungement
February 20, 2015
UBS Stockbroker Expungement in Lehman Bond Case
February 6, 2015
SIFI Snoopy In Constitutional Dogfight With Feds
January 15, 2015
Lien-ing Tower Prompts FINRA Fine And Suspension
January 9, 2015
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Retroactive Bar
Collateral Bar
Municipal Advisor
Fine
Financial Disclosure
Retroactive
Pershing
GME
FNI Media
sexism
NRSRO
DRS
NFT
Section 1332
Exception Reports
Schottenstein
Bartko
FINRA Foundation
Negligence
Private Placements
ALJ Grimes
Third Party Beneficiary
Transparency
JOBS Act
Last Known Address
QuadrigaCX
Mantar
GAP
Rule 21F-17
In House Counsel
CD
NYAG
Communications
Undertaking
expenses
Promoter
SLUSA
Accounting
JAMS
In Connection With
Deceased Customer
MAP
reimbursement
TSSB
HSBC
false statements
AMC
Rule 13206
Reg SHO
DMCA
Gross
Ruder Task Force
Confidential
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Sharing Agreement
Books and Records
Kiting
Rule 144
VXX
Corporate Governance
Motion to Compel Arbitration
Back Dated
Equity
ACT!
Tysk
Altered
Apartment
Particularity
Declaratory Judgment
Rule 13212
Lek
Rule 13201
Ethics
Court of Appeal
Orders
Daspin
Rule 2140
APA
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Section 206
PSRO
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Discharge
Exception Report
Salman
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Investment Advisers Act
Kent
Transitional Bonus
UIT
MSPB
Ruemmler
Production Bonus
Burden of Proof
Notice
Alcoholism
Jury Instructions
Harris
finra
Confirmation
NPI
Sterne Agee
ALJ Foelak
NMS
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Shotgun Pleading
Risk
Romer
Article V
Motiion to Acquit
Fraudulent Inducement
Grievance
LOA
annuities
Wires
Crowdfunding
Hacker
Confidential Customer Information
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Rule 12511
Bob Dylan
Data
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Escrow
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Bill singer
Unauthorized Trades
Stipulation
Reasonable
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Microcap
elderly
Motion to Postpone
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Dostoevsky
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Berthel Fisher
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Series 79
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Rule 420
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College
Solomon
Day Trading
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Elon Musk
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AI
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Willfull
Nietzsche
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Game of Thrones
whistleblower
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Perjury
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Howey
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Judgments
Traders
Exhaustion Doctrine
SIE
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TradeStation
ADR