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23 Aug 2019, 2:07 am
A recent FINRA regulatory settlement comes up short on a number of those aspects.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, Jedediah Elvin Dahl, submitted a Letter of Acceptance, Waiver and Consent ("AWC"), whic... [read post]
26 Feb 2019, 6:13 am
Case In PointIn a FINRA Arbitration Statement of Claim filed in November 2017, FINRA member firm Claimant National Securities Corporation asserted breach of promissory notes arising from Respondent Bell's alleged failure to repay a December 14, 2015, note and Respondent Leon's alleged failure to repay November 9, 2015... [read post]
5 Apr 2017, 6:33 am
As I write these last words from the bunker, I warn you, beware of the FINRA cohorts now embedding themselves in the infrastructure of Wall Street! [read post]
17 Apr 2018, 10:33 am
"Fast forward about 2,300 or so years and we leave the bloody field of Asculum and arrive at the more sedate setting of a FINRA arbitration hearing room. [read post]
5 Feb 2016, 1:48 pm
Firms can force employees to waive FINRA rules and arbitrate before a private arbitrator.We have held in several cases that an SRO's arbitration provisions are default rules which may be overridden by more specific contractual terms. [read post]
15 Nov 2014, 4:11 am
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, Suzanne Ellen Meserve submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
21 Mar 2017, 2:41 am
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, Evans Fomunyoh submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
9 Nov 2017, 2:30 am
FINRA, that staunch protector of Wall Street's honor and integrity, has fined and suspended an individual for submitting multiple bogus business meal expenses for reimbursement. [read post]
25 Jan 2016, 2:16 am
The fourth mistake . . . well, to be cynical, that would be when the stockbroker got caught.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, Marco Antonio Daniel A/K/A Tony Daniel submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which… [read post]
28 Sep 2018, 4:48 am
A disgruntled customer alleges $633,000 in damages in a FINRA Arbitration complaint. [read post]
8 May 2015, 9:54 am
To FINRA's credit, the self-regulatory organization explains the background issues and offer a rationale for its decisions in a very cogent and comp... [read post]
16 Sep 2013, 4:21 am
Matisi submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
14 Oct 2016, 2:13 am
Submitted for your consideration is a FINRA Arbitration between a public customer and industry parties. [read post]
22 Dec 2016, 2:50 am
This is an update of "FINRA Wins Scottsdale Capital Advisors Motion to Dismiss" (BrokeAndBroker.com Blog, May 9, 2016)Wall Street is regulated by the federal Securities and Exchange Commission ("SEC"), by state securities divisions, and by the self-regulatory organization ("SRO") the Financial Industry Regulatory Authority ("FINRA"). [read post]
21 Feb 2020, 1:29 am
FINRA? [read post]
22 May 2021, 11:04 am
Astarita, Esq. is a 30-year securities arbitration veteran, having represented parties in over 600 FINRA arbitrations in 20 cities. [read post]
21 Feb 2017, 2:03 am
Today's featured FINRA regulatory settlement presents us with a Respondent who seems to have done some incredibly stupid stuff. [read post]
24 Jan 2015, 5:29 am
Given my historic bias and animosity towards both self-regulation and FINRA, I have decided to allow the litigants to speak for themselves via the excerpts below and my commentary follows at the end. [read post]
30 Jul 2019, 9:28 am
A recent FINRA intra-industry arbitration presents an example of how a party won her claim but still looks banged-up for the effort.Case in PointIn a FINRA Arbitration Statement of Claim filed in August 2018, associated person Melissa L. [read post]
18 Sep 2017, 3:53 am
On one side of today's featured FINRA customer arbitration we got an ex-wife. [read post]
