Search for: "Financial Industry Regulatory Authority"
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2 May 2016, 2:22 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in September 2015, Claimant Schirtzinger, representing himself pro se, asserted negligence, fraud, breach of fiduciary duty, and misrepresentations/non-disclosures in connection with the issuance of a check to his mother by Respondent Putnam. [read post]
17 Apr 2015, 7:24 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in March 2013, Claimant Marriott Claimant asserted breach of fiduciary duty; common law fraud; violation of the Texas Securities Act; violation of the Texas Deceptive Trade Practices Act; and lack of adequate supervision in connection. [read post]
14 Mar 2014, 5:00 am
In today's BrokeAndBroker Blog about a Financial Industry Regulatory Authority ("FINRA") settlement, your first impression is anger at the stockbroker because of the cited misconduct. [read post]
1 Sep 2017, 5:48 am
Even after you read the FINRA Arbitration Decision, you're still going to be thinking about the facts and issues in this dispute.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in September 2016, pro se Claimant Weidenbush asserted negligence, suitability, and failure to supervise in connection with his investment in what the FINRA Arbitration Decision characterizes as “Triple… [read post]
10 Oct 2017, 2:05 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]
24 Jul 2017, 3:47 am
Notwithstanding the dedicated efforts of a grassroots coalition spearheaded by Stephen Kohn, candidate for election as FINRA's 2017 Small Firm Governor, the Financial Industry Regulatory Authority has rejected appeals to reconsider the size of the fine and the length of the suspension imposed upon Respondent Botkin, who is serving a four-month suspension and liable for a $15,000 fine. [read post]
20 Sep 2017, 6:48 am
To read through the Financial Industry Regulatory Authority's disciplinary docket is to experience a spectrum of idiocy that runs from seemingly inadvertent goofs to detestable acts that cause inestimable harm. [read post]
22 May 2017, 8:29 am
., the publisher of the BrokeAndBroker.com Blog, submitted a comment in response to the March 21, 2017, Financial Industry Regulatory Authority (“FINRA”) "Special Notice: Engagement Initiative / FINRA Requests Comment on Potential Enhancement to Certain Engagement Programs / Comment Period Expires May 5, 2017. [read post]
16 Jan 2018, 3:22 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in December 2015, Claimant Odeon Capital Group asserted breaches of express written contract, fiduciary duty and the covenant of good faith and fair dealing; action for an accounting; constructive trust; unjust enrichment/ disgorgement; specific performance; tortious... [read post]
25 Apr 2018, 10:38 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitra... [read post]
16 Mar 2013, 3:21 am
In response to the filing of a Complaint on July 10, 2012, by the Department of Enforcement of the Financial Industry Regulatory Authority (“FINRA”), Respondent Phillips Wiegand, Jr. [read post]
29 Dec 2017, 2:55 am
This is an update of Stockbrokers Sue Customer Over Unpaid Margin Debit" (BrokeAndBroker.com Blog, July 16, 2015) 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 Wijk had failed to repay a debit balance that purportedly arose after he had traded an unspecified stock on margin and, thereafter, failed to repay the… [read post]
28 Sep 2015, 3:38 am
Notwithstanding the judicial about-face, where we end still leaves both parties and the Financial Industry Regulatory Authority with lots of egg on their faces. [read post]
26 Jul 2016, 12:00 am
The Financial Industry Regulatory Authority (FINRA) maintains the Trade Reporting and Compliance Engine (TRACE) vehicle to facilitate the mandatory reporting of bond sales in the United States. [read post]
20 Mar 2017, 3:28 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in June 2015, former Lightspeed Trading, LLC customer, Claimant Ehrenspeck asserted unsuitable securities transactions; breaches of contract and fiduciary duty; fraud; churning; failure to supervise and to comply with internal procedures. and negligence in connection with unspecified securities. [read post]
25 Apr 2017, 8:46 am
" If you read the decision slowly, you can almost hear the ka-ching, ka-ching, and ka-ching of the old litigation cash register as each of those conclusions were entered into the document.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in December 2015, Claimant Mennemeyer asserted against her former employer PNC defamation, wrongful termination, unfair competition, and tortious interference… [read post]
4 Aug 2015, 4:35 am
Case In PointJorge Daniel Usandivaras filed a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in April 2013. [read post]
20 Jul 2015, 3:15 am
Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in August 2014, Claimant Gatens asserted causes of action including breach of written employment agreement, unlawful withholding of wages and retaliation; and fraud. [read post]
23 Jan 2019, 2:21 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker James Schwartz (Schwartz) has been subject to nine customer complaints, one tax lien, and one bankruptcy during his career. [read post]
2 Oct 2020, 12:24 pm
” The Financial Industry Regulatory Authority reportedly barred Eaton in November 2019 from associating with any FINRA member at any time. [read post]
