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3 May 2019, 6:26 am
FINRA Department of Enforcement, Complainant, v. [read post]
24 Apr 2020, 5:21 am
A public customer filed a FINRA arbitration case against Merrill Lynch. [read post]
4 Jan 2019, 6:59 am
Claimant sought unspecified compensatory and punitive damages, fees, and costs, and the FINRA Arbit... [read post]
11 Dec 2021, 12:46 pm
FINRA Arbitrators Award $1 In Response to $1 Million In Damages Sought (Sort of) (BrokeAndBroker.com Blog)Several sentenced in $50M pump-and-dump scheme (DOJ Release)Operating Partner of Oil and Gas Maintenance Business Sentenced to Prison for Wire Fraud (DOJ Release)SEC Cites Failure to Exhaust Administrative Remedies in Dismissing Appeal by Rep Barred for Failure to Respond to FINRA Document/Information DemandsIn the Matter of the Application of Shad Nhebi Clayton for… [read post]
15 Mar 2019, 6:26 am
How did these parties wind up before a FINRA Arbitration Panel? [read post]
29 Nov 2017, 3:47 am
READ http://www.brokeandbroker.com/3698/finra-away-account/FINRA Arbi... [read post]
7 Aug 2023, 4:51 am
FINRA Arrives at Point of Insanity (BrokeAndBroker.com Blog) "Securities Industry Commentator/BrokeAndBroker.com Blog" publisher Bill Singer, Esq. sends email to FINRA Chief Executive Officer Robert Cook and FINRA Chief Legal Officer Robert Colby with Copy to Jennifer Piorko Mitchell, Office of the Corporate Secretary, FINRAEmail from Bill Singer, Esq. to Senior FINRA Executives Cites Reports of Alleged Efforts to Obtain "Votes in… [read post]
27 Dec 2017, 7:43 am
FINRA Arbitrator Recommends Expungement Of Three Customer Complaints (BrokeAndBroker.com Blog) A sole FINRA Arbitrator tackles a thorny arbitration in which a registered person seeks the expungement of not one but three customer complaints. [read post]
1 Aug 2022, 4:04 am
The evidence further demonstrated that FINRA personnel... [read post]
24 Sep 2021, 2:46 pm
Renews Call for Antifraud Fund and PIABA FINRA Board Seat (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/6087/finra-piaba-arbitration/It is inexcusable that Wall Street as an industry and FINRA as a broker-dealer community tolerates unpaid securities arbitration awards - a point recently made, yet again, by PIABA in a compelling report. [read post]
14 Apr 2021, 8:00 am
Wall Street Compliance Professionals Need FINRA Like A Heart Attack (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5811/finra-reminders-believes/FINRA just published another unnecessary Regulatory Notice in which the regulator reminds us about what it believes could constitute a violation of its rules. [read post]
13 Nov 2020, 8:14 am
Phillips, Respondent (FINRA AWC)FINRA Imposes Fine and Pr... [read post]
27 Jul 2020, 12:54 am
LAST CHANCE: VOTE FOR STEPHEN KOHN for 2020 FINRA Small Firm Governor (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5351/stephen-kohn-finra-board/Veteran Wall Street lawyer Bill Singer, the publisher of the BrokeAndBroker.com Blog and the Securities Industry Commentator Feed, urges all FINRA Small Firm Executive Representatives to cast their 2020 FINRA Small Firm Governor proxy for Stephen A. [read post]
29 Oct 2021, 11:44 am
FINRA is run by a Board of Governors for which the voting for elected Governors is limited to its FINRA member firms to the exclusion of the hundreds of thousands of the industry's associated persons and countless millions of public customers. [read post]
7 Jan 2022, 11:54 am
How Many FINRA Enforcement Lawyers Does It Take To Prosecute a Default Case? [read post]
27 Dec 2019, 6:48 am
However, FINRA foun... [read post]
9 Aug 2021, 5:27 am
FINRA AWC Did Not Require Acceptance of Findings But Why Does Regulator Publish Denials? [read post]
24 Apr 2023, 3:33 am
FINRA Arbitrator Dismisses 21 Year Old Claim Against Citigroup Global Markets (BrokeAndBroker.com Blog) https://www.brokeandbroker.com/7010/finra-citigroup-eligibility/ In today's featured FINRA Arbitration, we are reminded that he who hesitates is lost; and, while we're at it, how time and tide wait for no man (and no woman). [read post]
1 Mar 2019, 10:19 am
READ the FINRA AWC; http://www.finra.org... [read post]
25 Jul 2022, 4:10 am
Fidelity Brokerage Services Has Two Trains Runnin' in FINRA Arbitration and Federal Court (BrokeAndBroker.com Blog)Notice of Annual Meeting of FINRA Firms and Election Proxy (FINRA Election Notice)VOTE FOR STEPHEN A. [read post]
