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11 Jan 2017, 4:08 am
The grumpy self-regulatory organization warns registered reps that they may get snagged in the old regulatory tree if they try to fly too many NSF checks.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Jon DeBow submitted a Letter of Acceptance, Waiver and Consent… [read post]
21 Aug 2013, 2:10 am
Peace submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
5 May 2017, 8:55 am
In an intriguing FINRA Arbitration Decision, the sole arbitrator hearing the case recommended the expungement of a customer complaint from a registered representative's CRD record. [read post]
18 Aug 2016, 11:10 am
In the case of the Financial Industry Regulatory Authority (“FINRA”), a so-called self-regulatory organization (“SRO”), you got lots of rules. [read post]
11 Dec 2017, 3:22 am
Consequently, when I came upon a recent FINRA arbitration in which a public customer had filed his lawsuit in 2015, I understood the likely seething anger of the FINRA arbitrator, the respondents, and their lawyers when Claimant attempted to cancel a previously scheduled hearing the day before it was to be conducted. [read post]
10 Jan 2017, 6:02 am
Consider this recent FINRA regulatory settlement involving customer impersonations.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a... [read post]
21 Jan 2018, 6:36 am
Bill applauds FINRA's well-written settlement and finds the self-regulator's rationale compelling. [read post]
12 Apr 2018, 3:50 am
Be that as it may, we have a ten-year-long pattern of conduct that FINRA doesn't quite like. [read post]
26 Jun 2017, 3:40 am
Not what, Who.Case In Point In a Financial Industry Regulatory Authority ("FINRA") Arb... [read post]
19 Jun 2015, 2:46 am
In a recent FINRA customer arbitration, the Claimants sure as hell got their moneys-worth in terms of a clever legal theory -- if only the Award equaled the brilliant legal effort.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in February 2012, public customer Claimants alleged causes of action including breaches of contract and fiduciary duty, negligence, unsuitability, fraud, improper supervision, and… [read post]
12 Jul 2019, 3:42 am
A recent FINRA OHO Panel Decision displays human folly in all its dubious glory.BackgroundNancy Kimball Mellon entered the securities industry in 1983, and by August 2012, she was registered with FINRA member firm Wells Fargo Clearing Services, LLC, where she remained until her December 7, 2016, termination. [read post]
19 May 2014, 5:46 am
As a recent FINRA expungement arbitration demonstrates, the cost of representing an individual who was not even named in a lawsuit may be astronomical. [read post]
4 Mar 2014, 4:17 am
The FINRA arbitration discussed in today's BrokeAndBroker Blog seems to confirm that axiomIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in November 2012 and as thereafter amended, public customer Claimant Poling, representing himself pro se, asserted breaches of contract and fiduciary, neg... [read post]
5 Mar 2015, 4:51 am
;Although the appellate path from FINRA to the SEC and ultimately the federal courts may hold out much promise, a critical consideration for those who have been hit with long suspensions or bars is whether they can continue to pursue their industry careers during the pendency of the appeal. [read post]
19 Dec 2019, 12:57 am
In this gig economy, how does all that gigging get you into trouble with FINRA? [read post]
7 Feb 2020, 1:24 am
The Saga of FINRA Versus Kimberly Springsteen-Abbott(2015 - 2020 -- and likely not done yet)2015 OHO DecisionFINRA Department of Enforcement, Complainant, v. [read post]
1 Feb 2019, 8:08 am
In today's featured public customer FINRA Arbitration, the public customer Claimant named 10, count 'em, 10 respondents but after some 6 respondents were removed from the case, well, the case looked like an abandoned car wreck on the side of the road. [read post]
23 Mar 2018, 8:42 am
At times, FINRA is uncompromising when it insists that a rule says what it says and you are charged with understanding the proscriptions and following the provision without fail. [read post]
17 Apr 2017, 3:41 am
Yes, dear readers, Bill has virtually nothing to add to today's featured FINRA Arbitration decision. [read post]
22 Sep 2016, 7:31 am
In a recent FINRA regulatory settlement, the self regulator presented us with the case of a supervisor who seems to have had trouble engaging in effective supervision. [read post]
