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11 Dec 2017, 3:23 am
A FINRA arbitrator just penned a Decision about a suitability case that's so close to perfection that . . . well . . . you know . . . u can't touch this!! [read post]
14 Apr 2015, 5:53 am
In the Matter of the FINRA Arbitration Between Ishii Family Trust dated 12/2/93, Claimant, vs. [read post]
24 Aug 2016, 8:17 am
An oddball aspect of this case is that FINRA winds up arguing that its arbitrators didn't act properly. [read post]
24 Oct 2022, 3:44 am
Please, you take it from here.Case In PointIn a FINRA Arbitration Statement of Claim filed in November 2021, public customer Cla... [read post]
22 Feb 2017, 5:36 am
This is an UPDATE of "FINRA Punches Ticket of Rep Over Office Parking Validation" (BrokeAndBroker.com Blog, February 27, 2017).A recent FINRA regulatory settlement presented us with a registered representative Respondent who seemed to have done some incredibly stupid stuff involving validated office parking. [read post]
20 Jul 2017, 12:46 pm
"UPDATE: FINRA Rides The Thunder In Vietnam Movie Case" (BrokeAndBroker.com Blog, July 7, 2017). [read post]
7 Jun 2019, 11:12 am
A FINRA Arbitration Panel of three public arbitrators dismissed the claims. [read post]
1 May 2018, 8:32 am
Well, perhaps you might read today's BrokeAndBroker.com Blog article about a recent FINRA arbitration and, when you're finished, say "thank you" to that nice man Mr. [read post]
12 Apr 2019, 5:19 am
Adding insult to injury, a FINRA Arbitration Panel hears the claims and dismisses them -- but, perhaps arising from Wall Street's collective pang of conscience, the arbitrators raise a lament about ineffective compliance practices. [read post]
7 Aug 2017, 3:47 am
Now, let's consider a recent FINRA intra-industry Arbitration. [read post]
5 Sep 2018, 3:31 am
In a recent FINRA public customer arbitration, however, we have at least three oops, which, the way I see it, is at least an oops, I did it again, again. [read post]
28 Dec 2016, 10:02 am
Let's examine FINRA's OBA Rule and make sure that we understand what's required. [read post]
6 May 2013, 9:48 am
There are lessons to be learned for those contemplating moving on to other pastures, greener or otherwise.Unfair CompetitionIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in November 2012, Claimant U.S. [read post]
31 Mar 2021, 9:30 am
In a recent FINRA regulatory settlement we have all the classic elements of such puzzle.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, Col... [read post]
7 Dec 2015, 2:05 am
READ how the respondent fared at FINRA and on appeal to the SEC.Case In ... [read post]
10 Sep 2021, 1:27 pm
Unfortunately, as FINRA sees it, he's got several Aces of Spades hidden above his wrist and is rigging the game -- sure, let's call it as it is: He's cheating. [read post]
13 Nov 2021, 6:37 am
Yet another bit of dubious quality control arises with yet another FINRA published document. [read post]
26 Jul 2018, 7:22 am
In a recent FINRA arbitration we start with four respondents, and then, almost magically, we end with one. [read post]
4 Dec 2017, 3:43 am
Consider today's featured FINRA arbitration.Case In PointIn a Financial... [read post]
27 Dec 2016, 5:10 am
Let's examine FINRA's PST Rule and make sure that we understand what's required. [read post]
