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20 Sep 2018, 4:47 am
We even got some wise words from Mickey Goldmill.ROUND ONE: 2015 Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in December 2014, three associated persons alleged that public customer Wi... [read post]
10 Feb 2017, 11:25 am
The unsettling thing about the outcome, however, is that you feel like you've attended a well-rehearsed but not particularly entertaining play; and, worse, that one of the key actors (the former employer) doesn't particularly want to be on stage and is sort of going through the motions.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in Septem... [read post]
11 Dec 2017, 3:23 am
When it comes to the self regulation of Wall Street, the Financial Industry Regulatory Authority seems to have a penchant for gestalt. [read post]
19 Jan 2018, 1:46 am
UBS Complex Director Wins Margin Call Battle (BrokeAndBroker.com Blog) http://www.brokeandbroker.com/3779/finra-expungement-margin/The Financial Industry Regulatory Authority recently warned that margin debt has risen sharply in recent months to an all-time high of $627.4 billion. [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]
2 May 2013, 3:50 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in July 2011, Claimant asserted causes of action including negligence, breaches of contract and fiduciary duty, fraud, conflict of interest, violations of securities rules and laws, and unsuitability in connection with his investment in Respondent BBVA’s proprietary fund Puerto Rico & Global Income Target Maturity Funds, Inc. [read post]
9 Apr 2018, 7:45 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration State... [read post]
16 Jan 2018, 3:23 am
The Financial Industry Regulatory Authority ("FINRA") recently posted "Margin Debt at Record Levels: Know the Risks" http://www.finra.org/investors/highlights/margin-debt-record-levels-know-risks, which warns that:Like the stock market, margin debt has risen sharply in recent months. [read post]
21 Mar 2017, 2:42 am
Thankfully, both Wells Fargo and the Financial Industry Regulatory Authority were there to protect us. [read post]
27 Jun 2018, 7:51 am
In today's BrokeAndBroker.com Blog we consider a FINRA expungement arbitration in which an arbitrator's rationale provides us an opportunity to use and duck from the back-and-forth blade of facts as presented in litigation.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of... [read post]
5 Aug 2017, 3:03 am
" Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Amended Arbitration Statement of Claim filed in April 2015, former associated person Claimant Sayre asserted breaches of contract and the covenant of good faith and fair dealing; negligence; intentional misrepresentation;... [read post]
5 Jun 2014, 10:50 am
Sadly, the FINRA Arbitration Decision doesn't offer us much in the way of underlying facts, but it does pose an edgy issue about whether a customer is in charge of the account and what ramifications such a circumstance presents.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in May 2012, in connection with a dispute concerning a variable annuity policy, public customer Claimant Pritsker… [read post]
29 Oct 2017, 7:14 am
As set forth on Financial Industry Regulatory Authority's ("FINRA's") website: The National Adjudicatory Council (NAC) is a FINRA committee that reviews initial decisions rendered in FINRA disciplinary and membership proceedings. [read post]
8 Jul 2015, 4:14 am
In the end, we have a decision, we have multiple awards, but we're left scratching our heads as to how we got from Point A to Point B.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in October 2013, Claimant Stifel Nicolaus alleged that Respondent Sick had breached the terms of a promissory note dated December 9, 2008 ("the Note"). [read post]
20 Jun 2016, 9:28 am
At the end of today's blog is a Postscript, which may open your eyes and drop your jaw when you realize that there was far more to this employment dispute than was presented in the Decision.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement ... [read post]
1 Aug 2013, 4:46 am
Yet another black eye for mandatory Wall Street arbitration.Goldman Sachs Fund Under FireThe federal court for the Eastern District of Pennsylvania recently considered dueling motions to confirm, on the one hand, and to vacate/remand, on the other hand, a Financial Industry Regulatory Authority (“FINRA”) arbitration. [read post]
2 Mar 2018, 5:32 am
For those of us involved with FINRA arbitration, we have the wisdom of Zager & Evans.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in November 2015, Claimant Ledermann, representing himself pro se, asserted breaches o... [read post]
13 Mar 2015, 9:57 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]
4 Nov 2016, 6:01 am
As a recent FINRA saga shows, something as innocuous as a trade error can start the process that ends with our undoing.2011 ArbitrationIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Stat... [read post]
20 Jul 2015, 3:15 am
Not so much a lawsuit and an appeal as an ordeal and an odyssey through the legal system.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in August 2011 and amended thereafter, Claimants Morga... [read post]
