Search for: "Financial Industry Regulatory Authority"
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19 Sep 2019, 1:32 am
FINRA Bars Rep Who Knew Someone (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4825/finra-awc-pst/When it comes to settling allegations of industry misconduct, the Financial Industry Regulatory Authority often seems in a rush to get something on paper and publish it. [read post]
22 Jun 2015, 10:03 am
On June 26, 2015, the Financial Industry Regulatory Authority ("FINRA") published this somewhat unusual and intriguing press release:FINRA Supports NAC Members, Chris Brummer During Online HarassmentFor Release: Friday, June 26, 2015Washington - FINRA commends Georgetown Law Professor Chris Brummer and other National Adjudicatory Council (NAC) members for their ongoing contributions to FINRA's mission despite online attacks.Prof. [read post]
13 Mar 2017, 5:00 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in April 2016 and amended thereafter, Claimant Marchel asserted violations of the Family and Medical Leave Act of 1992 (“FMLA”), wrongful termination, and breach of contract in connection with her purported wrongful termination by Respondent Invesco after she requested FMLA leave. [read post]
17 Oct 2017, 8:42 am
In today's blog, Bill takes on the Financial Industry Regulatory Authority for what he views as an idiotic FINRA Arbitration Decision involving the dispute of two public customers against a member f... [read post]
18 Apr 2017, 9:29 am
Today's BrokeAndBroker.com Blog visits a FINRA work-site and we watch the regulators' bricklayers mix the mortar that seals the fate of one registered representative.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying... [read post]
7 Aug 2017, 3:47 am
Yeah, I know, that's one hell of a segue.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in July 2017, Claimant Taylor asserted breach of contract (emp... [read post]
30 Sep 2013, 7:20 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Master Statement of Claim filed in November 2011 and in the Subordinated Statement of Claim filed in July 2012, Claimants asserted breach of fiduciary duty; unsuitable investments; churning and excessive trading; failure to supervise; and gross negl... [read post]
9 Aug 2016, 10:09 am
In addition to delivering a powerful punch of an Award, the FINRA Arbitration Decision is an articulate document replete with content and context.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in June 2015 and a... [read post]
24 Dec 2015, 4:24 am
An interesting read that touches on many compliance and litigation issues.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in September 2015, Claimant Sofia Friedman, representing herself pro se, all... [read post]
15 Mar 2018, 6:43 am
Whether or not the answers are satisfactory depends on a number of factors.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in August 2016 and as amended thereafter, Claimant Clark asserted defamation in connection with allegedly false and defamatory statements filed on his Form U5. [read post]
14 Feb 2015, 7:10 am
On the other hand, it's what they left out of the Arbitration Decision that caught the attention of veteran industry lawyer Bill Singer.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in March 2014, associated person Kelly sued public customer Grimes pursuant to an effort to obtain an expungement of a prior arbitration complaint. [read post]
25 Apr 2018, 10:42 am
No one has ever called BrokeAndBroker.com Blog's publisher Bill Singer a snarky bastard when it comes to his shots against the Financial Industry Regulatory Authority. [read post]
17 Aug 2016, 6:50 am
All of which reminds me of a recent FINRA soccer match . . . oops, I mean FINRA intra-industry arbitration.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in August 2015, and as amended thereafter, former employee Claimant Storaska Claimant asserted that he had been... [read post]
24 Oct 2018, 2:04 am
Few things are more frustrating for Wall Street's customers than to believe that they were victimized by one of the industry's large broker-dealers and then find out that their disputes must be adjudicated via mandatory arbitration before the Financial Industry Regulatory Authority ("FINRA"). [read post]
15 Aug 2014, 3:43 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in January 2013, registered person Claimant Jeffords alleged: breaches of contract and the covenant of good faith and fair dealing; Uniform Termination Notice for Securities Industry Registration ("Form U5") defamation; tortious interference with contractual relations;unjust… [read post]
24 Jul 2014, 8:20 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in December 2012, Claimant Negotiart of America asserted causes of action including breach of fiduciary duty and negligent... [read post]
6 Sep 2014, 6:41 am
Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in April 2013, registered person Claimant Daniels asserted breach of contract; libel/slander on his Uniform Termination Notice for Securities Industry Registration ("Form U5") in the Central Registration Depository record ("CRD") record; violation of FINRA Rule 2010; and wrongful… [read post]
10 Jan 2013, 4:49 am
Raymond James Wrongful Discharge Case Is A Minefield For StockbrokerIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in April 2011, Claimant Pavlovich alleged that on February 2, 2011, he was wrongfully terminated by Respondent Raymond James and the firm falsely reported the reason for his termination on his Uniform Termination Notice For Securities Industry Registration (“Form U5”)… [read post]
31 May 2018, 7:52 am
Serve.Case in PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in November 2017, registered representative Claimant Graham sought the expungement of four customer complaints from his Central Registration Depository record (“CRD”) and $1 in compensatory damages. [read post]
7 May 2013, 2:56 am
The arbitrator's decision provides us with insight into how triers-of-fact weigh different considerations.Turnaround Is FairplayIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in July 2012, registered person Claimant Fetterman sought the expungement from his Central Registration Depository record (“CRD”) of an arbitration previously filed by public customer Respondent Fowler: Karin… [read post]
