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9 Sep 2008, 6:22 pm
 Let's examine FINRA's guidance. [read post]
16 Jul 2021, 7:08 am
FINRA Fines and Suspends Rep For Seeking COVID Loan (BrokeAndBroker.com Blog)South Carolina Investment Fund Manager Sentenced to 63 Months in Prison for $20 Million Securities Fraud Scheme (DOJ Release)Memphis Man Sentenced to Federal Prison for Fraud Scheme Targeting Nonprofits (DOJ Release)SEC Charges Connecticut Man for Fraud in Hotel Renovation Investment (SEC Release)FINRA Fines and Suspends Rep for PSTs in Away Retirement AccountsIn the Matter of Timothy Ray Plant, Respondent… [read post]
2 Jun 2015, 4:23 am
READA Brief History of FINRA ETF TimeIn the end, FINRA didn'... [read post]
7 Aug 2008, 3:12 pm
Let's examine the more important parts of FINRA's proposal. [read post]
1 Nov 2012, 3:43 pm
Forbes has an interesting article regarding the recent FINRA arbitration Lehman Brothers Holdings v Adam David Sloan (FINRA Arbitration 11-01774, October 17, 2012): In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in May 2011, Claimant Lehman Brothers sought to recover by the close of the hearing $357,142.86 in outstanding principal; $79,244.88 accrued interest; and $53,571.43 in collection costs. [read post]
4 Jun 2012, 11:31 am
The SEC is also interested in a lack of transparency regarding FINRA’s governance and operations. [read post]
28 Nov 2022, 3:50 am
Sexism on Wall Street: The Cowardly Silence of FINRA's Board of Governors (BrokeAndBroker.com Blog)DOJ RELEASESSEC RELEASESCFTC RELEASESFINRA RELEASES= = =11/28/2022Sexism on Wall Street: The Cowardly Silence of FINRA's Board of Governors(BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6770/finra-goldman-sexism/By way of preamble, this blog is is about Goldman, Sachs & Co. and the Financial Industry Regulatory Auth... [read post]
19 Oct 2012, 7:00 am
FINRA regulators have entered into a settlement with EKN Financial Services, Anthony Ottimo, Sr. and Thomas Giugliano resulting in the expulsion of EKN from FINRA. [read post]
10 Oct 2022, 4:49 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6707/securities-industry-commentator/FINRA Censures and Fines Former Raymond James SVP for Signing Letters of Credit for Customer (BrokeAndBroker.com Blog)Keeping Up With Kenny -- Not the Kardashians (BrokeAndBroker.com Blog)A Lack of Finality: The Trevor Saliba Saga at FINRA and the SEC and Again at… [read post]
30 Jan 2023, 4:17 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6864/securities-industry-commentator/ The FINRA Regulatory Mule Kicks Defrauded Customers In the Head (BrokeAndBroker.com Blog) The SEC Toys With A Dead FINRA Expungement Mouse for 50 Months (BrokeAndBroker.com Blog) Federal Appellate Court Affirms Dismissal of Wells Fargo and FINRA (BrokeAndBroker.com Blog) … [read post]
19 Oct 2012, 7:00 am
FINRA regulators have entered into a settlement with EKN Financial Services, Anthony Ottimo, Sr. and Thomas Giugliano resulting in the expulsion of EKN from FINRA. [read post]
2 Jan 2024, 1:04 pm
After a 26-Year Regulatory Nap, FINRA Discovers Firm's WSPs Are Inadequate (BrokeAndBroker.com Blog) FINRA Bars Its Arbitration Forum To TDA Customer Citing Unspecified Risks Of Health And Safety (BrokeAndBroker.com Blog) Former Merrill Lynch Rep Stuck In FINRA Arbitration Expungement Turnstile (BrokeAndBroker.com Blog) Financial Professionals Coalition, Ltd. [read post]
23 Jan 2012, 8:53 am
The amount of dollars at stake in FINRA securities arbitrations has grown in recent years. [read post]
19 Dec 2022, 3:25 am
Federal Court Denies Reconsideration of FINRA Referral Letter Cited In Federal Insider Trading Appeal (BrokeAndBroker.com Blog)DOJ RELEASESSEC RELEASESCFTC RELEASESFINRA RELEASES= = =12/19/2022Federal Court Denies Reconsideration of FINRA Referral Letter Cited In Federal Insider Trading Appeal (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6794/chan-finra-reconsider/After a guilty verdict is rendered in a criminal trial, a convicted defendant often battles on via… [read post]
17 Jun 2021, 3:25 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5913/securities-industry-commentator/FINRA Alerts Firms to Phishing Email From "FINRA Support" from the Domain Name "westour.org" (FINRA Regulatory Notice)Former Chief Operating Officer of Philadelphia Technology Start-Up Charged with Securities Fraud and Embezzlement (DOJ Release)SEC Charges Former Company… [read post]
29 May 2023, 1:26 pm
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/7067/securities-industry-commentator/ Bill Singer, Publisher of the Securities Industry Commentator and the BrokeAndBroker.com Blog, Calls for BOYCOTT of 2023 FINRA Elections FINRA Took Wells Fargo Stockbroker Outback to a Bar and SEC Says It's The Last Round (BrokeAndBroker.com Blog) SEC Orders FINRA to… [read post]
4 Jun 2022, 5:57 am
Morgan Securities Demolished In FINRA Non-Solicitation Arbitration ... [read post]
31 Oct 2011, 10:38 am
Since the Financial Industry Regulatory Authority (FINRA) amended its rules effective January 31, 2011 to allow investors who file securities arbitration claims to opt for an “all-public” panel with no ties to the securities industry (as FINRA defines “ties”), 77 percent of eligible investors have done so, according to Linda Fienberg, president of FINRA Dispute Resolution, which administers arbitration proceedings. [read post]
3 Apr 2023, 4:20 am
FINRA Arbitration Award Gives Us A Case of Gas From Chipotle Bean Burrito Puts (BrokeAndBroker.com Blog) DOJ RELEASES SEC RELEASES CFTC RELEASES FINRA RELEASES = = =4/3/2023 FINRA Arbitration Award Gives Us A Case of Gas From Chipotle Bean Burrito Puts (BrokeAndBroker.com Blog) https://www.brokeandbroker.com/6962/s... [read post]
14 Aug 2021, 8:07 am
The Unsecured Convertible Note, The FINRA CMA, The Pro Se Plaintiff, The Federal Complaint, and the Legal Clinic (BrokeAndBroker.com Blog)Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Expiration Date of the Temporary Amendments set forth in SR-FINRA-2020-015 and SR-FINRA-2020-027 (SEC Release)Virginia Man Sentenced for Role in Multimillion-Dollar Investment-Fraud Scheme (DOJ Release)... [read post]
