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6 May 2022, 2:02 pm
Read today's blog to see how things turned out.Federal Court Puts A Second Fork In Schottenstein FINRA Arbitration and Says It's Done And Done (BrokeAn... [read post]
5 Jun 2023, 4:09 am
Federal Circuit Court Says Price Isn't Right In UBS Whistleblower Retaliation (BrokeAndBroker.com Blog) https://www.brokeandbroker.com/7081/price-ubs-whistleblower/ A former UBS financial advisor ... [read post]
3 Dec 2021, 12:59 pm
California Court of Appeal Retains State Court Jurisdiction of BTIG Employment Retaliation Lawsuit (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/6204/btig-mcleod-arbitration/The allegations in Matthew M... [read post]
17 Apr 2023, 4:43 am
Time to Call False Start Penalty Against SEC Reg ATS Rulemaking (BrokeAndBroker.com Blog... [read post]
13 May 2022, 8:59 am
FINRA Fines and Suspends Former Morgan Stanley Rep For Putting Compliance Cart After the Horse (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6456/finra-awc-z... [read post]
17 Sep 2022, 9:15 am
GUEST BLOG: A Personal Message From Granville A. [read post]
13 Aug 2022, 8:55 am
GUEST BLOG: [In]Securities: A Hard Rain's A-Gonna Fall: A Whistleblower Retaliation Case Washes Out by Aegis Frumento Esq (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6615/aegis-frumento-insecurities-whistleblower/Veteran lawyer Aegis Frumento warns that being a whistleblower is not for the faint of heart. [read post]
27 Feb 2023, 3:10 am
Read Aegis' blog to... [read post]
28 Feb 2022, 3:42 am
Fictitious CIA Mission With Bogus Red Cross and Delta Force Influences Became An IRS and Investor Fraud (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/6325/cia-marshall-sicario/In these plague days, in these pre- or post-Apocalyptic times, there's often nothing like a good tale to divert our attention from the daily horrors with which we live. [read post]
25 Mar 2022, 12:16 pm
FINRA Arbitrators Hit Commonwealth Financial with Compensatory and Punitive Damages in Defamation Case (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/6375/womack-commonwealth-finra/In a recent FINRA Arbitration Award, it seemed that ... [read post]
22 Apr 2022, 3:49 am
After the SEC's PAUSE, We're Left Wondering Why (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6411/pause-sec-update/There is a moral hazard when the SEC publishes an increasing number of alerts and press releases. [read post]
3 Apr 2022, 9:04 am
Sometimes you sort of get the feeling that your case ain't going well.SEC Slaps Generic, Non-Specific Whitewash Over Database Scandal (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/6385/sec-whitewash/When the opening s... [read post]
24 Apr 2023, 3:33 am
The Six-Year FINRA and SEC Regulatory Saga of Craig Scott Capital (BrokeAndBroker.com Blog... [read post]
21 May 2022, 10:04 am
TradeZero, Meme Stocks, and High Dudgeon From the SEC (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6468/tradezero-sec-meme/The other day, an SEC press release claimed that a settlement constituted a powerful message. [read post]
26 Jun 2022, 6:42 am
GUEST BLOG [In]Securities: Highwaymen: The SEC Pulls Off a Brinks Heist by Aegis Frumento Esq (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6529/frumento-highwaymen-brinks/The SEC charged Brinks with violating Dodd Frank Act Rule 21F-17 when the company required employees to sign confidentiality agreements in employment contracts and in severance arrangements. [read post]
21 Aug 2022, 12:45 pm
GUEST BLOG: [In]Securities: Puff! [read post]
10 Oct 2022, 4:49 am
Except, the more we consider the facts, the more questions arise as to why a fine and why a suspension.Keeping Up With Kenny -- Not the Kardashians (BrokeAndBroker.com Blog)https://www.brokeandbr... [read post]
13 Mar 2023, 4:17 am
A Form Of Lunacy Has Overtaken The SEC (BrokeAndBroker.com Blog) https://www.brokeandbroker.com/6926/sec-lunacy-rulemaking/ A form of lunacy has overtaken the Securities and Exchange Commission. [read post]
12 Mar 2022, 7:45 am
FINRA and SEC Continue Dakota / Zipper Ping Pong Game of Dubious Regulation(BrokeAndBroker.com Blog)http://www.brokeandbroker.com/6351/zipper-dakota-finra-sec/Today's blog is less a legal analysis of a case than it is a somewhat pathetic rendering of all that is wrong with Wall Street regulation. [read post]
18 Mar 2022, 11:51 am
In today's blog, we have an expungement case in which a FINRA arbitrator recommends the removal of two customer complaints from a stockbroker's industry record. [read post]
