Search for: "Finra"
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2 Sep 2013, 11:57 am
FINRA Department of Enf... [read post]
25 Mar 2022, 12:16 pm
Arousing the Wrath of the Great and Powerful SEC and FINRA (BrokeAndBroker.com Blog)Cybercriminal Connected to Multimillion Dollar Ransomware Attacks Sentenced for Online Fraud Schemes (DOJ Release)Phony Investment Adviser Sentenced To 16 Years In Prison (DOJ Release)SEC Awards $1.25 Million to Whistleblower ClaimantOrder Determining Whistleblower Award ClaimsFINRA Bars JPMorgan Securities Rep for Reversing Bank FeesIn the Matter of Jeffrey Karakatsanis, Respondent (FINRA AWC)Fines… [read post]
19 Mar 2021, 4:15 am
(BrokeAndBroker.com Blog)FINRA Arbitrator Awards Damages to Customer Against Charles Schwab & Co. for IRA Rollover Paperwork DelaysIn the Matter of the FINRA Arbitration Between Cynthia Jo Gruchalski, Claimant, v. [read post]
24 Apr 2023, 3:33 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/7008/securities-industry-commentator/ FINRA Arbitrator Dismisses 21 Year Old Claim Against Citigroup Global Markets (BrokeAndBroker.com Blog) The Six-Year FINRA and SEC Regulatory Saga of Craig Scott Capital (BrokeAndBroker.com Blog) FINRA Arbitrators Checkmate SunTrust With Punitive Damages for Misuse of Rep's… [read post]
24 Apr 2020, 5:21 am
Market Structure & COVID-19: Handling Increased Volatility and Volumes (FINRA Uncripted)FINRA Fines Kestra Investment Services For Regulation S-P Violations. [read post]
15 Nov 2013, 2:44 am
Which is not to say or even suggest that FINRA arbitration and the FINRA expungement process are fairly handled. [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]
1 Nov 2019, 4:53 am
FINRA Department of Enforcement, Complainant, v. [read post]
26 May 2020, 2:08 am
FINRA Arbitration Has More In and Out Than A Porn Film (BrokeAndBroker.com Blog)FINRA Sanctions Stifel, Nicolaus & Co., Inc. [read post]
26 Jun 2022, 6:42 am
(Barrons by Andrew Welsch)FINRA Report Refutes Court Finding of Fundamental Unfairness in Leggett Arbitration (With Updated Conclusion) (BrokeAndBroker.com Blog)FINRA Arbitrators Hit Citigroup With $1.4 Million Damages For Discrimination, Harassment, and Retaliation (BrokeAndBroker.com Blog)... [read post]
9 Jul 2021, 12:50 pm
Roisman)FINRA Censures and Fines NEXT Financial Group for Funds and Bonds SupervisionIn the Matter of NEXT Financial Group, Inc., Respondent (FINRA AWC)FINRA Arbitrators Directly Nullify Indirect Non Solicitation Agreement (BrokeAndBroker.com Blog)... [read post]
5 Mar 2021, 9:50 am
E*Trade Securities, LLC, Respondent (FINRA Arbitration Award)HELD OVER FOR SECOND DAY: FINRA Suffers Stunning Rebuke by SEC in Ty... [read post]
17 Jan 2013, 5:50 am
Gee, talk about telegraphing the bad news.READ Bill Singer's full analysis of this fascinating FINRA case at his Forbes' "... [read post]
19 Dec 2022, 3:25 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6816/securities-industry-commentator/TD Ameritrade Customer Sues Over Alleged Wrongful Margin Sell-Out (BrokeAndBroker.com Blog)FINRA Sued in the Wrong Place At the Wrong Time Affirms Federal Circuit Court (BrokeAndBroker.com Blog)FINRA and Citigroup Global Markets Not SHO Enough (BrokeAndBroker.com Blog)Federal Court Denies… [read post]
2 Oct 2021, 7:52 am
Beverlywood Man Pleads Guilty to Securities Fraud, Admitting Massive Ponzi that Falsely Claimed to License Foreign Film Rights (DOJ Release)Kansas Man Sentenced to Three Years in Prison for Engaging in $900,000 Foreign Currency Ponzi Scheme (DOJ Release)FINRA Sanctions Merrill Lynch, Pierce, Fenner & Smith Incorporated for MSRB ViolationsIn the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent (FINRA AWC)FINRA NAC Affirms OHO… [read post]
8 Jan 2021, 7:30 am
Holwerda, Respondent (FINRA AWC)FINRA Bars Rep for Unauthorized Trading, and for Churning and Excessively Trading AccountsFINRA Department of Enforcement, Complainant, vs Steven Robert Luftschein,... [read post]
6 Oct 2014, 3:48 am
Bill Singer challenges FINRA to deal with industry sexism and to clean its own house. [read post]
30 Jan 2023, 4:17 am
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) DOJ RELEASES U.S. [read post]
26 May 2020, 2:08 am
There's more in-and-out in this FINRA arbitration then in a porn film. [read post]
8 May 2023, 4:47 am
FINRA Board of Governors Fails to Confront Goldman Sachs $215 Million Gender Discrimination Settlement (BrokeAndBroker.com Blog) SEC Says No Second Bite of FINRA Expungement Apple (BrokeAndBroker.com Blog) The Fair But Unsatisfactory FINRA Arbitration Hearing (BrokeAndBroker.com Blog) Goldman Sachs to pay $215 mln to settle gender discrimination lawsuit (Reuters) 1Cir Overturns Two Varsity Blues Fraud and Conspiracy ConvictionsUnited States, Appellee, v. [read post]
