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19 Apr 2012, 1:11 pm
At his previous post, Bentes reviewed decisions rendered under the organization’s dispute settlement mechanisms. [read post]
22 Feb 2022, 4:11 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6309/securities-industry-commentator/Federal Court Puts A Fork In Schottenstein FINRA Arbitration and Says It's Done (Maybe) (BrokeAndBroker.com Blog)SEC Proposes Short Sale Disclosure Rule, Order Marking Requirement, and CAT Amendments / Agency Also Reopens Comment Period for Proposed Rule 10c-1 (SEC Release)UPDATE: The Google, Candido… [read post]
18 Mar 2022, 11:51 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6359/securities-industry-commentator/Stockbroker Wins Expungement of Two Edward Jones Customer Complaints (BrokeAndBroker.com Blog)Loves Park Investment Advisor Sentenced to More Than Four Years in Prison for Financial Fraud (DOJ Release)Nevada Man Admits Money Laundering and Tax Offenses Related to BitClub Network Fraud Scheme (DOJ Release)SEC… [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 Reconsideration of… [read post]
6 Sep 2022, 4:06 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6646/securities-industry-commentator/GUEST BLOG: [In]Securities: Trading Cards as a Meditation: Are NFTs "Securities"? [read post]
24 Jul 2023, 4:11 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/7125/securities-industry-commentator/ FINRA Can't Quite Put A Name On It: Perjury Or False Testimony Or Misleading Testimony (BrokeAndBroker.com Blog) Financial Professionals Coalition, Ltd. [read post]
24 Jan 2022, 2:27 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6263/securities-industry-commentator/FINRA Fines and Suspends Barclays Analyst For Undisclosed Employment Offer (BrokeAndBroker.com Blog)2Cir Reverses LIBOR Judgments for Insufficient EvidenceUnited States of America, Appellee-Cross-Appellant, v. [read post]
21 Feb 2023, 3:12 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6899/securities-industry-commentator/ Financial Professionals Coalition, Ltd. [read post]
8 May 2023, 4:47 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/7032/securities-industry-commentator/ FINRA Board of Governors Fails to Confront Goldman Sachs $215 Million Gender Discrimination Settlement (BrokeAndBroker.com Blog) SCOTUS: The right to valuable economic information needed to make discretionary economic decisions is not a traditional property. [read post]
20 Jun 2023, 4:44 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/7103/securities-industry-commentator/ Federal Court Sanctions Lawyers for ChatGPT UseRoberto Mata, Plaintiff, v. [read post]
1 Aug 2022, 4:04 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6587/securities-industry-commentator/GUEST BLOG: [In]Securities: Lip Service: The SEC, Reg S-ID, and the Majestic Equality of Regulation by Aegis Frumento Esq (BrokeAndBroker.com Blog)Absurd SEC Staff Bulletin Warns Industry To Adjust To Known Variables And Be Flexible (BrokeAndBroker.com Blog)FINRA Censures and Fines JP Morgan Securities In… [read post]
20 Mar 2023, 3:55 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6948/securities-industry-commentator/ GUEST BLOG: [In]Securities: Wanting to Break Free: The Delaware Chancery Court Strikes Down Cantor Fitzgerald's Non-Compete Clauses by Aegis Frumento Esq (BrokeAndBroer.com Blog) SEC Tells FINRA to Raise the Gate For Ineligible Expungement Case (BrokeAndBroker.com Blog) Financial… [read post]
12 Jun 2023, 4:15 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/7092/securities-industry-commentator/ Bill Singer Calls for Boycott of 2023 FINRA Elections (BrokeAndBroker.com Blog) There's Something Happening Here at a FINRA Customer Arbitration; What It Is Ain't Exactly Clear. [read post]
25 Jul 2022, 4:10 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6575/securities-industry-commentator/FINRA Small Firms Face Existential Crisis. [read post]
11 Jul 2022, 3:51 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6551/securities-industry-commentator/GUEST BLOG: [In]Securities: Watching You: The SEC Walks the Beat by Aegis Frumento Esq (BrokeAndBroker.com Blog)5Cir Sustains SEC's No-Deny Precondition for SettlementsSecurities and Exchange Commission, Plaintiff/Appellee, v. [read post]
10 Apr 2023, 4:02 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6984/securities-industry-commentator/ After Thanking Very Helpful Whistleblower, The SEC Then Stabs The Tipster In The Back (BrokeAndBroker.com Blog) FINRA Arbitrators Award Damages Against Morgan Stanley In Case Alleging Customer Lacked Mental Capacity (BrokeAndBroker.com Blog) Pro Se Registered Respondent A No Show At Arbitration… [read post]
7 Feb 2022, 5:47 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6287/securities-industry-commentator/Federal Court Can't Find Any Basis For FINRA Arbitration Decision In HSBC Managing Director Case (BrokeAndBroker.com Blog)Chief Compliance Officers Revisit Personal Liability (FinOps Report by Chris Kentouris)SEC Charges Shari’ah-Focused Online Investment Service with Misleading Clients (SEC… [read post]
12 Dec 2022, 3:12 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6804/securities-industry-commentator/Newborn Baby, Paternity Leave, Away Account, Loss of Job, and the FINRA Fine and Suspension (BrokeAndBroker.com Blog)Edward D. [read post]
5 Jun 2023, 4:09 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/7080/securities-industry-commentator/ Wells Fargo Refuses Wife's Demand To Liquidate Joint Account and Send Her 50% of Proceeds (BrokeAndBroker.com Blog) Federal Circuit Court Says Price Isn't Right In UBS Whistleblower Retaliation (BrokeAndBroker.com Blog) Branch Manager and FINRA Fail to See Red Flags of Unsuitability Involving… [read post]
3 Apr 2022, 9:04 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6383/securities-industry-commentator/The 90 Year Old Customer, The Trust Account, Merrill Lynch, the Asset Sale, and the Margin Trade (BrokeAndBroker.com Blog)Interactive Brokers Wins $26.7 Million Counterclaim Against Customers in Stock Manipulation CaseDong Fang, Xingxian Li, Qixu Wang, and Jingxue Zhang, Claimants, v. [read post]
