Search for: "Financial Industry Regulatory Authority"
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26 Jan 2016, 4:14 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration ... [read post]
26 Jun 2017, 3:40 am
Not what, Who.Case In Point In a Financial Industry Regulatory Authority ("FINRA") Arb... [read post]
28 Nov 2018, 4:36 am
The audience may get lost in Act I and never catch the drift thereafter.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in February 2018, and as am... [read post]
18 Aug 2014, 7:05 am
In 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 termination. [read post]
1 Mar 2018, 5:30 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in April 2016, Claimant Gherardi asserted defamation on his Central Registration Depository (“CRD”) and Uniform Termination Notice for Securities Industry Registration ("Form U5"); tortious interference with prospective economic relations; wrongful termination and/or breach of contract and/... [read post]
16 Aug 2017, 4:37 am
For those of you who love mandatory customer and industry arbitration before the Financial Industry Regulatory Authority ("FINRA"), I am pleased to present today's analysis of a recent public-customer arbitration. [read post]
20 Jan 2014, 4:11 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in April 2012 and as amended thereaf... [read post]
5 Oct 2016, 9:44 am
I have long criticized the Financial Industry Regulatory Authority ("FINRA") as being illegitimate because it disenfranchises hundreds of thousands of registered representatives from voting on its rule proposals or for its elective offices (said voting franchise having been arrogated solely to the organization's member firms). [read post]
4 Feb 2014, 5:25 am
In today's BrokeAndBroker Blog, we have one such sporting event involving a lot of nastiness and one former employee's reputation hanging in the balance.In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in May of 2012, Claimant Robertson asserted defamation, tortious interference with prospective relations, and intentional infliction of emotional distress in connection with the purportedly inaccurate… [read post]
24 Oct 2013, 10:33 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in November 2012 by former employee Claimant Morrison asserted that Respondent Edward Jones & Company, LP. had wrongfully terminated her employment because she had not disclosed on her Uniform Application For Securities Industry Registration Or Transfer (“Form U4”) one unsatisfied lien and one unsatisfied judgment. [read post]
28 Sep 2017, 4:52 am
During her interviews with a Financial Industry Regulatory Authority member firm, she is shocked to learn that she had been barred for failing to respond to a FINRA demand for information. [read post]
18 Sep 2017, 5:10 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in M... [read post]
21 Feb 2017, 3:16 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in January 2013, public customer Claimant Strang asserted causes of action including fraud, negligence, and breach of fiduciary duty. [read post]
2 Jan 2017, 2:52 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in October 2015, Claimant Potts, appearing pro se, asserted that he had been wrongfully terminated and sought $600,000 for four-years of allegedly lost income; $250,000 for the alleged hardship he suffered since his 2012 termination, and $300,000 in punitive damages. [read post]
26 Jun 2017, 3:53 am
In the end, the registered rep prevailed and how she did it and why the arbitrator ruled in her favor are worthwhile lessons.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in November 2016, associated person Claimant Welborn sought the expungement from her Central Registration Depository records (“CRD”) of disclosures on her Uniform Termination Notice for Securities Industry… [read post]
5 Jun 2014, 10:49 am
It coulda been so much more.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in February 7, 2012, and thereafter amended in March 2012, Claimant Meckenstock asserted causes of action including breach of contract, defamation, libel, slander, and fraud. [read post]
26 Aug 2013, 8:58 am
Consider this recent FINRA intra-industry arbitration in which the sole Arbitrator is not one happy camper when it comes to some of the antics pulled by the parties and their counsel.In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in March 2012, Claimant BOSC alleged failure of consideration; breach of warranty; promissory estoppel; and unjust enrichment in connection with the termination of… [read post]
19 Oct 2018, 6:48 am
UBS Wins FINRA Mandatory Arbitration Appeal (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4258/frumento-sears/UBS-FINRA-Tax/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]
10 Feb 2014, 4:00 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 supervision in connection with its investments in the common stocks of companies such as Assured Pharmacy, Aura Systems, and Digital Devel... [read post]
25 Jul 2018, 7:28 am
Royal Alliance Associates, FSC Securities Corporation, SagePoint Financial, Woodbury Financial Services Censured & Fined According to the Financial Industry Regulatory Authority (FINRA) on Tuesday, the regulator has sanctioned four firms, Royal Alliance Associates, Inc., FSC Securities Corporation, SagePoint Financial, Inc., Woodbury Financial Services, Inc. for failure to establish, maintain and enforce a supervisory system… [read post]
