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8 Feb 2017, 12:58 pm
Behrends filed an answer to the FINRA arbitration, but did not appear at the scheduled hearing even though he had notice. [read post]
20 Sep 2018, 5:13 am
who had become the President and Chief Compliance Officer of FINRA member firm Sequoia Investments, Inc. [read post]
21 Nov 2019, 8:42 am
The poet's dark question prompts us to muse about the wind that blows as so much hot air through a FINRA Arbitration Decision and a federal court's review. [read post]
30 Jul 2013, 4:12 am
LTD., submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
20 Jan 2016, 2:28 am
Even as jaded an industry pundit as the BrokeAndBroker Blog's author and publisher Bill Singer takes notice of a FINRA arbitration with those multiple seven-figure damages. [read post]
30 Jan 2020, 12:46 am
In a recent FINRA arbitration, we see how this faulty system is taking on even more troubling dimensions.Sharifi v. [read post]
7 Aug 2023, 4:51 am
From Bill Singer, Esq.Publisher of the "Securities Industry Commentator" and "BrokeAndBroker.com Blog" As one of the founders of the NASD Dissident/Reform Movement (now the FINRA Dissident/Reform Movement), and as a member of the 1998 slate of the first four petition candidates to successfully challenge the self-regulatory-organization's process of anointing its industry Board members, I am a fervent proponent of robust, contested elections as a means of… [read post]
14 Aug 2017, 3:49 am
Pursuant to FINRA's rules, member firms may only vote for a nominee from their respective sized firm. [read post]
23 Sep 2016, 5:56 am
FINRA AWC OBA LPL RS CK" (BrokeAndBroker.com Bog, September 30, 2016)If you're a supervisor on Wall Street, it sort of goes without saying that you need to supervise. [read post]
23 Jul 2018, 6:04 am
That being said, we're going to need a pooper-scooper by the time we've finished reading the FINRA Arbitrat... [read post]
22 Jul 2017, 9:28 am
Pursuant to FINRA's rules, member firms may only vote for a nominee from their respective sized firm. [read post]
20 Nov 2017, 7:34 am
As Bill sees it, FINRA has an obligation to say what it means and mean what it says. [read post]
18 Nov 2014, 9:59 am
By way of spoiler alert: FINRA settled charges involving records that were altered during an in-house audit at UBS. [read post]
25 Apr 2018, 10:42 am
On second thought, to be fair, a lot of folks call Bill a snarky bastard when it comes to his shots against FINRA. [read post]
15 Sep 2020, 9:19 am
The flaw in this regulatory matter is FINRA's violation of its Discovery rules. [read post]
23 Sep 2016, 6:03 am
A simple FINRA employment arbitration dispute. [read post]
5 Feb 2021, 10:33 am
A recent FINRA arbitration just doesn't seem to add up. [read post]
16 Jan 2018, 3:21 am
Clearly, not the crime of the century and FINRA's moderate sanctions underscore that point. [read post]
4 Apr 2016, 8:14 am
Join veteran Wall Street regulatory lawyer Bill Singer as he guides you through the nuts-and-bolts of FINRA Rule 9216.FINRA Rule 9216: Acceptance, Waiver, and Consent; Plan Pursuant to SEA Rule 19d-1(c)(2)(a) Acceptance, Waiver, and Consent Procedures(1) Notwithstanding Rule 9211, if the Department of Enforcement or the Department of Market Regulation has reason to believe a vi... [read post]
24 Jul 2014, 8:20 am
" In a recent FINRA arbitration, a group of arbitrators expanded upon that theme when they found that industry respondents had "engaged in fraud and malice in the bad faith manner in which they defrauded Claimant. [read post]
