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23 Jan 2017, 3:16 am
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudi... [read post]
28 Jan 2015, 5:05 am
In today's BrokeAndBroker.com Blog, we pay homage to the efforts of the famous and less famous singer and Singer to shine a light on the puzzling inconsistency with which FINRA says a bank's name.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial I... [read post]
20 Sep 2017, 7:50 am
For others, the vivisection of a recent FINRA Outside Business Activities settlement may open your eyes and give you pause before throwing in the towel and agreeing that you are guilty as charged. [read post]
22 Dec 2017, 8:49 am
The BrokeAndBroker.com Blog's publisher Bill Singer, Esq. takes this last opportunity in the waning days of 2017 to rage against the machine and call for the reform of FINRA's failed expungement system. [read post]
22 May 2017, 8:25 am
Similar thing recently happened at a recent FINRA intra-industry arbitration. [read post]
4 Apr 2014, 4:33 am
In today's BrokeAndBroker.com Blog, we encounter a two-time loser with a somewhat creative approach to turning lemons into lemonade.For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, John Charles Tib... [read post]
1 May 2020, 6:22 am
In a recent FINRA regulatory settlement, we come across a member firm that can't get its supervisory act together. [read post]
30 Jul 2018, 10:46 am
.”Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in January 2018, public customer S... [read post]
24 Mar 2016, 11:33 am
In two Wall Street employment disputes that resulted in FINRA arbitrations, we see how ambiguous and vague language becomes the proverbial monkey-wrench in the machinery.Case I... [read post]
5 May 2014, 3:59 am
Today's BrokeAndBroker.com Blog explores a recent regulatory settlement involving a stockbroker's conduct upon learning of his customer's death.For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Jeffery Bowman Ellis submitt... [read post]
29 Jun 2015, 3:59 am
Consider this recent case where a firm agreed to enhance its protocol for notifying customers of wiring funds to third parties.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Scottrade, Inc. [read post]
29 Nov 2017, 3:47 am
READ FULL TEXT INFORMATION http://brokeandbroker.com/PDF/FlynnInfo.pdfIn a recent FINRA regulatory settlement, one unlucky registered rep hit the trifecta when he was sanctioned for maintaining an away account, for trading away from his firm, and for landlording (I think that's a word but if it isn't, well, you know what, it is now). [read post]
29 May 2014, 4:08 am
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, James Paul Kimmel Sr. submitted a Letter of Acceptan... [read post]
3 Nov 2017, 6:21 am
On Wall Street, we have added a third possibility to the cat's life or death; namely, that the cat may also be a zombie and, therefore, one of the living dead.IRS Says FINRA Cat is Governmenta... [read post]
12 May 2018, 12:03 pm
It seems that each week there are increasing numbers of arbitrations filed with FINRA seeking expungement of various matters from a registered rep's industry record. [read post]
3 Jan 2017, 3:10 am
As the BrokeAndBroker.com Blog often laments, a lot of what gets published as a FINRA Arbitration Decision requires the reader to fill in the blanks. [read post]
14 Jan 2016, 8:52 am
As to those of you who got nailed by your employer and/or FINRA, how much justice can you afford? [read post]
10 Feb 2017, 11:25 am
The unsettling thing about the outcome, however, is that you feel like you've attended a well-rehearsed but not particularly entertaining play; and, worse, that one of the key actors (the former employer) doesn't particularly want to be on stage and is sort of going through the motions.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in Septem... [read post]
30 Dec 2016, 2:09 am
., one more trite expression also comes into play: He who hesitates is lost.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in May 2016, Claimants asserted common law fraud; breach of fiduciary duty; negligent failure to supervise; and negligence in connection with an alleged over-concentration of assets in unspecified equities. [read post]
1 May 2017, 2:30 am
A recent FINRA regulatory settlement shows that regulators need to be careful that their own prior conduct doesn't undermine their best efforts to police the industry. [read post]
