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23 Jul 2021, 12:55 pm
Consider a recent FINRA regulatory settlement with another of the ind... [read post]
7 Sep 2021, 3:37 am
Certainly, it's part of FINRA's tawd... [read post]
27 Dec 2019, 6:48 am
Many of those shocked folks didn't retain a lawyer and thought they had negotiated a great deal with FINRA. [read post]
27 May 2014, 9:06 am
In the Matter of the FINRA Arbitration Between Karl Austin Pettijohn, Claimant, vs. [read post]
26 Dec 2017, 3:09 am
FINRA Fines J.P. [read post]
19 Sep 2019, 1:32 am
" In a recent FINRA AWC s... [read post]
27 Sep 2019, 3:33 am
FINRA should see the bigger picture and better comprehend the subtle pressure exerted. [read post]
3 Apr 2023, 4:20 am
In 2023 FINRA Settles With Goldman Sachs Over Mismarked Short Sales Dating Back to 2015 (BrokeAndBroker.com Blog) FINRA Arbitration Award Gives Us A Case of Gas From Chipotle Bean Burrito Puts (BrokeAndBroker.com Blog) Steven Schwartz, Plaintiff, v. [read post]
9 Oct 2023, 1:21 pm
In today's public customer FINRA arbitration, we have a failed second-bite of the same wormy Merrill Lynch apple. [read post]
19 Dec 2018, 12:02 pm
Please refer to the Department of Justice’s contingency plan for more information.Report from FINRA Board of Governors Meeting -- December 2018 / Board Approves Rule Proposals, Reviews 2019 Budget and Appoints New Public Governor (FINRA Release)http://www.finra.org/newsroom/2018/report-from-finra-board-of-governors-meeting-december-2018In pertinent part, the FINRA Release announced that its Board had approved two rule proposals:Proposal to Proh... [read post]
12 Feb 2022, 7:37 am
Robinhood Hit With Damages in a Say-Nothing FINRA Arbitration Award (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/6291/robinhood-sandhu-arbitration/In today's featured public customer arbitration against Robinhood, the FINRA Arbitration Award hardly offers so much as a summary of the underlying issues. [read post]
23 Jan 2015, 4:53 am
Another day and another email disaster at another major FINRA member firm. [read post]
24 Oct 2022, 3:44 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6731/securities-industry-commentator/FINRA Taxonomy News Release Isn't Newsworthy (BrokeAndBroker.com Blog)Accessing FINRA Test Center Launch Codes With Colonel Mustard (BrokeAndBroker.com Blog)The Problem for A Merrill Lynch Registered Rep Seeking the Expungement of a Settled FINRA Arbitration (BrokeAndBroker.com Blog)TD… [read post]
24 Jan 2020, 4:10 am
Wills, Respondent (FINRA AWC 2017056557101) https://www.finra.org/sites/default... [read post]
6 Nov 2017, 1:01 pm
READ http://www.brokeandbroker.com/3663/finra-elderly-estate/ Five Not So Easy Thought Pieces About Pro Se FINRA Arbitration http://www.brokeandbroker.com/3662/finra-pro-se-arbitration/You got your five easy pieces. [read post]
20 Sep 2021, 8:05 am
FINRA, Claptrap, Fraud, Mental Frames, and Subjective Construals (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/6074/finra-mental-frames/As readers of the Securities Industry Commentator and the BrokeAndBroker.com Blog know all too well, publisher Bill Singer is no fan of FINRA's Investor Education Foundation. [read post]
4 Oct 2017, 11:08 am
In any event, as a recent regulatory settlement shows, FINRA is in bed between a regi... [read post]
23 Apr 2021, 3:54 am
Structuring of Eight Bank Deposits Earns FINRA Suspension (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5812/finra-awc-smith/FINRA says that a registered rep borrowed money from two customers, but the loan wasn't actually made directly to the rep but to her limited liability company. [read post]
5 Sep 2017, 3:41 am
How Long Has This FINRA Violation Been Going On? [read post]
1 Mar 2019, 10:19 am
It's said that in space, if you scream, no one can hear you -- who thought that FINRA... [read post]
