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6 Sep 2019, 7:08 am
At times, the relationship between the stockbroker and the company frays -- or someone cherry-picks the top producers with a better offer. [read post]
1 Aug 2017, 8:28 am
If you need a reason to get your ducks in a row with the handling of electronic information, here's your wake-up call. [read post]
18 Sep 2017, 3:52 am
Among the most frustrating aspects of practicing law is when you have a client who has been wronged, terribly wronged, but it's just too late to do anything about it. [read post]
1 Jul 2013, 2:41 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in April 2012, Claimants Saunders asserted fraudulent inducement, negligent misrepresentations, and breach of fiduciary duty in connection with alleged recommendations by the respondents concerning the creation of an employer-sponsored welfare benefit plan under §419 of the Internal Revenue Code. [read post]
1 Aug 2022, 4:04 am
Originally published as:"FINRA Report Refutes Court Finding Of Fundamental Unfairness In Leggett Arbitration" (BrokeAndBroker.com Blog / June 30, 2022)https://www.brokeandbroker.com/6519/finra-leggett-drs/The Report of the Independent Review of FINRA's Dispute Resolution Services -- Arbitrator Selection Process (June 28, 2022) https://www.finra.org/sites/default/files/2022-06/report-independent-review-drs-arbitrator-selection-process.pdf In part the Report concludes… [read post]
2 May 2012, 4:21 am
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12 Mar 2013, 5:32 am
You're going to need to take a shower after you read this case... [read post]
1 Aug 2017, 4:59 am
I'm often asked about my political affiliation or leanings. [read post]
7 Mar 2018, 3:35 pm
We couldn’t make this stuff up if we wanted to, you guys. [read post]
27 Apr 2012, 4:06 am
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2 Mar 2020, 7:04 am
Is it even worth mentioning a mere $35 million scandal at the stagecoach? [read post]
29 Aug 2012, 4:12 am
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11 Apr 2013, 3:27 am
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20 Sep 2012, 1:35 pm
Oral argument argued before the Eighth Circuit U.S. [read post]
9 Apr 2013, 3:04 am
Get it in writing and get it signed... [read post]
21 Feb 2017, 2:03 am
If I had to sum up my sense of why Wall Street compliance departments and regulators often fail, I would offer four key points:If you're not looking for something, you often can't find it. [read post]
19 Jul 2016, 6:46 am
BrokeAndBroker.com Blog publisher Bill Singer doesn't like today's reported FINRA Arbitration Decision involving a customer complaint. [read post]
4 Apr 2011, 2:19 pm
If you were a shareholders lawyer pursuing a subprime case against a big bank, and you had 50 confidential witnesses who worked for the bank, you might think that you'd have a good chance to survive a motion to dismiss. [read post]
16 Jan 2013, 3:54 am
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11 Jul 2016, 9:00 am
The United States District Court in Western District of Pennsylvania granted summary judgment against woman with 35 cell phones. [read post]
