Search for: "Financial Industry Regulatory Authority"
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7 Mar 2016, 2:46 am
Case In PointUnder consideration in today's BrokeAndBroker.com Blog are two Financial Industry Regulatory Authority ("FINRA") Arbitration Statements of Claims: Bruce Howard Tuchman and Michelle H. [read post]
5 Jun 2017, 12:03 pm
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority... [read post]
1 Oct 2018, 9:17 am
"Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admi... [read post]
5 May 2017, 8:55 am
" The response is thundering silence.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in October 2016, former Raymond James registered representative Claimant Overton asserted that Respond... [read post]
29 Jul 2014, 3:38 am
In today's BrokeAndBroker.com Blog, we consider the problems of an apparent victory in which it looked like a registered representative had favorably settled her claims against Raymond James.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in Ma... [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]
5 Aug 2013, 4:06 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in March 2012, Claimants asserted causes of action including breaches of contract and fiduciary duty, negligence, and negligent supervision in connection with their investments in Jones Soda Co., Nektar Therapuetics, Poniard Pharma, Inc. and Helices Bioscience Corp. [read post]
14 Oct 2013, 10:11 am
Every so often, however, the customer gets a little something and the stockbroker gets a little something and, hey, sometimes everyone wins, everyone loses, everyone is unhappy, and everyone is happy.In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in September 21, 2012, public customer Claimant Giusto asserted, among other causes of action, breaches of contract and fiduciary duty, and fraud in connection with… [read post]
30 Jul 2018, 10:46 am
.”Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in January 2018, public customer S... [read post]
23 Feb 2017, 5:45 am
If you wet your finger and hold it in the air, you can feel the change in the direction of the wind flowing from the Financial Industry Regulatory Authority. [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]
23 Jul 2014, 5:47 am
The BrokeAndBroker Blog examines one recent FINRA arbitration in which a named stockbroker not only denied the customer's charges but filed a counterclaim.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in April 2013, public customer claimants Charles and Frances Prignano alleged breach of fiduciary duty, neglig... [read post]
21 Feb 2020, 1:29 am
M2018-02188-COA-R3-CV / February 20, 2020)http://brokeandbroker.com/PDF/PagliaraTNApp200220.pdf When we drill down into the underlying facts, however, we enter into a truly bizarre world of sexual bondage, videotapes, divorce, criminal charges, and the Financial Industry Regulatory Authority. [read post]
19 Oct 2015, 6:54 am
There's something in the air tonight that takes your breath away -- so just breathe fresh air.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in March 2011, Claimant RBC Capital Markets asserted breach of a promissory note executed in July 2008 as a result of Respondent B... [read post]
20 Jan 2017, 12:56 am
This is an update of "FINRA NAC Member Brummer Files Amended Defamation Complaint" (BrokeAndBroker.com Blog, January 19, 2017), which reported on the recent filing of an Amended Complaint in the defamation lawsuit by Plaintiff Brummer, who is a law professor at Georgetown University Law Center and served on the Financial Industry Regulatory Authority's National Adjudicatory Council ("NAC") from 2013 to 2015. [read post]
17 Sep 2018, 9:58 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in March 2018, public customer Claimants Edwin C. [read post]
2 May 2017, 5:20 am
Ultimately, it is a battle between the competing desires for customer service and the need to mitigate damages.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in February 2016, public customer Claimant Bell asserted breaches of contract and fiduciary duty, and negligence in connec... [read post]
29 Apr 2013, 6:33 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in March 2011, and as amended thereafter, Claimant Wells Fargo Advisors, LLC asserted breach of contract; unjust enrichment; conversion; andbreach of fiduciary dutyin connection with Respondent Farr’s employment. [read post]
4 Jun 2021, 2:04 pm
Case In PointOn June 12, 2020, the Financial Industry Regulatory Authority ("FINRA")/ Department of Enforcement filed a Complaint against Adam James Makkai alleging that he violated FINRA Rules 2040 and 2010 by paying $27,037 in commissions to a... [read post]
23 Aug 2019, 2:07 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]
