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4 Dec 2014, 10:30 am
For the full case information, see FINRA Case #2012034045401. [read post]
19 Jul 2016, 2:39 pm
For FINRA’s full findings, see FINRA Case #2015044778301. [read post]
15 Dec 2015, 11:18 am
For the full findings, see FINRA Case #2011028071901. [read post]
12 May 2018, 12:04 pm
Anyway, so . . . we got this FINRA arbitration in which a customer is seeking some $108,000 in losses and hired a lawyer but then his lawyer withdrew and ... [read post]
20 Nov 2016, 2:16 am
All of which prompts me to wonder whether FINRA intentionally over-stated its case because the respondent threw in the towel and went along with whatever the regulatory wanted. [read post]
30 Oct 2017, 3:20 am
In today's featured BrokeAndBroker.com Blog, our publisher Bill Singer, Esq. presents a recent FINRA AWC involving the issue of how to recognize an anticipated insurance company payment for Net Capital purposes. [read post]
5 Apr 2015, 7:39 am
In the end it's all somewhat entertaining, even if no clear winner emerges.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in May 2012 and as amended thereafter, Claimant Cassese asserted breach of contract, misrepresentations, failure to pay commissions, assessment of fraudulent, unnecessary, and inflated fees, and illegal wage deductions compensation under New York State Lab... [read post]
23 Jul 2018, 6:09 am
To Bill's surprise and immense satisfaction, today's featured FINRA Arbitration Decision is perfectio... [read post]
5 Sep 2017, 5:40 am
If you work on Wall Street, chances are that you're forced to arbitrate most disputes before the Financial Industry Regulatory Authority ("FINRA"). [read post]
2 Nov 2015, 3:46 am
Consider this recent FINRA regulatory settlement.Case In PointFor the purpose of proposing a settlement of rule v... [read post]
12 Dec 2018, 4:52 am
After reading a recent FINRA Arbitration Decision about a public customer case, we don't come away with much of a sense as to where things ended. [read post]
28 Nov 2016, 5:51 am
In today's BrokeAndBroker.com Blog. however, we have a FINRA settlement involving seven years of improper discretion and 21 customers, a few of whom were the family members of the respondent. [read post]
22 Jan 2018, 4:33 am
Today's BrokeAndBroker.com Blog presents a concise regulatory settlement from FINRA about research reports violations. [read post]
17 Oct 2017, 8:42 am
In today's blog, Bill takes on the Financial Industry Regulatory Authority for what he views as an idiotic FINRA Arbitration Decision involving the dispute of two public customers against a member f... [read post]
6 Jan 2017, 2:06 am
Under the first set of circumstances, the loan likely violated FINRA's and the employer firm's rules. [read post]
10 Mar 2015, 3:23 am
In a recent FINRA regulatory settlement, it appears that the self-regulatory organization was concerned that the men and women in a member's Compliance Department and in its Payroll Department were't exactly on the same page when it came to communicating about disclosable events. [read post]
6 Apr 2017, 6:23 am
Under consideration today is a FINRA public customer arbitration in which the suing customer is awarded about 19% of what he was seeking. [read post]
23 Oct 2021, 6:32 am
Case in PointIn a FINRA Arbitration Statement of Cla... [read post]
17 Aug 2016, 5:58 am
Consider a recent FINRA regulatory settlement.Case In PointFor the purpose of proposing a settlement of rule violations a... [read post]
24 Oct 2018, 2:04 am
Few things are more frustrating for Wall Street's customers than to believe that they were victimized by one of the industry's large broker-dealers and then find out that their disputes must be adjudicated via mandatory arbitration before the Financial Industry Regulatory Authority ("FINRA"). [read post]
