Search for: "Financial Industry Regulatory Authority"
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4 Feb 2014, 5:02 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed January 2009, associated person Claimant Meyer Claimant asserted wrongful termination, defamation, and tortious interference with business expectancy. [read post]
28 Feb 2023, 10:00 pm
Similarly, the Financial Industry Regulatory Authority’s (FINRA’s) 2023 Report on Examination and Risk Monitoring Program identified many areas of focus for broker-dealers that will garner continued attention, including Regulation Best Interest, Consolidated Audit Trail, mobile apps, and cybersecurity. [read post]
20 Feb 2018, 3:19 am
This case proved to be no exception.Case In Point In a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in June 2017 by public customer Claimant Campbell representing himself pro se, he asserted manipulation; misrepresentation/non-dis... [read post]
30 Sep 2013, 7:49 am
In today's case, we see what happens when public customers don't abide by the discovery rules.In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statem... [read post]
23 Jun 2016, 4:53 am
The Claimant walks away with his pockets filled with cash and an expungement of his record.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in March 2015 and as amended thereafter, associated person Claimant Garrity, representing himself pro se, asserted causes of action in “defamation; misconduct; malicious intention; and wrongf... [read post]
21 May 2018, 4:49 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitrati... [read post]
3 Jun 2018, 6:23 am
In the end, it's hard to understand what motivates someone to stray off the path when the consequences are so onerous and the benefits seem absurdly paltry.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, ... [read post]
7 Nov 2020, 3:38 am
In a bit of mathematical magic, we seem to have traveled twice around a circle only to find ourselves at the end of the beginning of the beginning of the end -- the amazing Mobius Strip of Wall Street Regulation.Case In PointIn September 2007, the Financial Industry Regulatory Authority, Inc. (“FINRA”) filed a Complaint charging that, in July 2006, John M.E. [read post]
10 Dec 2014, 1:18 am
Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in June 2010, Claimants Barra and Sampedro sought $7 million in damages, fees, and interest in connection with the following causes of action attendant to their employment termination by Respondent Goldman Sachs:violations of the Uniformed Serv... [read post]
13 Jul 2015, 5:50 am
Now don't get me wrong, it's not especially unusual for a firm to sue a customer over margin; but in the arbitration presented here, the brokerage firm is not in the role of the Claimant.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in December 2014, three associated persons alleged that public customer Wijk had failed to repay a debit balance that purportedly arose after he had… [read post]
14 Nov 2016, 7:57 am
Alas, 2016 hasn't been the best of years for a beleaguered Wells Fargo; and judging by this FINRA Arbitration, the beleaguering isn't done.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in April 2014, Claimant Wells Fargo Advisors asserted that former employee Respondent Powers had failed to pay money owed on both a July 6, 2007, Promissory Note and an October 21, 2008, ... [read post]
5 Sep 2017, 5:40 am
If you work on Wall Street, chances are that you're forced to arbitrate most disputes before the Financial Industry Regulatory Authority ("FINRA"). [read post]
24 Apr 2020, 5:21 am
Ah yes, the old second bite of the lawsuit apple.2015: FINRA / Arbitration Statement of ClaimIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in June 2015, public customer Claima... [read post]
20 Jul 2017, 12:46 pm
If you are familiar with the background story, CLICK HERE to go directly to today's updated material.As previously reported, the Financial Industry Regulatory Authority ("FINRA") entered into an Acceptance, Waiver and Consent settlement ("AWC") with Respondent Richard S. [read post]
27 Apr 2017, 6:02 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in October 2016, Claimant asserted breaches of contract and fiduciary duty, negligence, fraud, unsuitability, and failure to supervise. [read post]
8 Oct 2013, 5:14 am
In this interesting case, we have two victims: the customer and the stockbroker; however, in the end, it seems to turn out relatively well for both of them.In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in December 2012, public customer Claimant Hardesty, who represented himself pro se, asserted breach of fiduciary duty, misrepresentations/non-disclosures,errors/charges, and negligence in connection with some… [read post]
26 Jul 2013, 4:24 am
In response to the filing of a Complaint on October 19, 2013, by the Department of Enforcement of the Financial Industry Regulatory Authority (“FINRA”), Respondent Wade H. [read post]
28 Aug 2013, 3:20 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in September 2012 and amended thereafter, Claimant Lampert, representing himself in a pro se capacity, ultimately sought $86,752.66 in compensatory damages plus punitive damages, costs, and treble damages arising from a dispute over employment compensation. [read post]
10 Sep 2013, 3:09 am
Here is one case in which a public customer failed to get off one last play before the final whistle blew.In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in April 2012, and as thereafter amended, public customer Claimant Ferrer asserted causes of action including negligence, breach of contract, unsuitability, and failure to supervise in connection with her invest... [read post]
25 May 2014, 3:04 am
Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in September 2013, Claimant Charles Schwab & Co., Inc. sought an expungement of a FINRA arbitration case filed by Respondent Baggarly.In the Matter of the FINRA Arbitration Between Charles Schwab & Co., Inc. [read post]
