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19 Nov 2021, 3:27 am
In a stunning FINRA intra-industry arbitration victory in 2019, a former UBS registered representative was awarded over $11.5 million for Form U5 defamation and attendant harm. [read post]
10 Oct 2022, 4:49 am
FINRA Censures and Fines Former Raymond James SVP for Signing Letters of Credit for Customer (BrokeAndBroker.com Blog)Keeping Up With Kenny -- Not the Kardashians (BrokeAndBroker.com Blog)A Lack of Finality: The Trevor Saliba Saga at FINRA and the SEC and Again at FINRA (BrokeAndBroker.com Blog)Wells Fargo suit against ex-lawyer 'unusual,' could have 'chilling effect' (Financial Planning by Victoria Zhuang)OFAC Settles with Bittrex, Inc. for… [read post]
19 Dec 2022, 3:25 am
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 FINRA Referral Letter Cited In Federal Insider Trading Appeal (BrokeAndBroker.com Blog)CFPB Orders Wells Fargo to Pay $3.7 Billion for Widespread Mismanagement of Auto Loans, Mortgages, and Deposit Accounts / Company repeatedly misapplied loan payments,… [read post]
19 Dec 2022, 3:25 am
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 FINRA Referral Letter Cited In Federal Insider Trading Appeal (BrokeAndBroker.com Blog)CFPB Orders Wells Fargo to Pay $3.7 Billion for Widespread Mismanagement of… [read post]
27 Sep 2016, 12:00 am
FINRA also determined that Oppenheimer failed to conduct due diligence regarding these risky ETFs which were solicited and sold to several elderly retail customers with an overall conservative investment objective. [read post]
8 Dec 2016, 6:44 am
Yet another mandatory FINRA employment arbitration comes under scrutiny. [read post]
15 Nov 2019, 2:35 am
Wells Fargo Clearing Services LLC, Respondent (FINRA Arbitration Decision)SEC Seeks Order Requiring Colorado Witness to Comply with Subpoena for Testimo... [read post]
20 Feb 2018, 3:19 am
In today's BrokeAndBroker.com Blog, we come upon yet another FINRA arbitration involving a public customer who represented himself. [read post]
6 Jun 2014, 8:55 am
And then FINRA comes a callin'. [read post]
23 Mar 2015, 5:33 am
Giffin submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
16 Jul 2019, 1:01 pm
EDT DEADLINE for Submission of FINRA Board Candidates' Statements to BrokeAndBroker.com BlogOn August 19, 2019, the Financial Industry Regulatory Authority ("FINRA") will conduct its annual meeting, at which time the self-regulatory organization will elect one small firm Governor (up to 150 registered representatives) and one large firm Governor (500 or more registered representatives) for a three-year term. [read post]
20 Feb 2018, 3:21 am
Scottrade Customer Margin Case Tossed During Discovery (BrokeAndBroker.com Blog) http://www.brokeandbroker.com/3837/finra-scottrade-discovery/In today's BrokeAndBroker.com Blog, we come upon yet another FINRA arbitration involving a public customer who represented himself. [read post]
2 Oct 2021, 7:52 am
Fochi, Jr., Respondent (FINRA AWC)... [read post]
7 Jan 2022, 11:54 am
How Many FINRA Enforcement Lawyers Does It Take To Prosecute a Default Case? [read post]
29 Mar 2019, 7:13 am
In today's featured FINRA public-customer arbitration, we got allegations by a husband against an ex-wife, which, you know, sort of means that he's an ex-husband, but, for reasons that I don't quite understand, only the wife is referenced in the FINRA Arbitration Decision as an "ex. [read post]
12 Dec 2022, 3:12 am
Did any of that get factored into FINRA's imposition of both a fine and a suspension? [read post]
31 Aug 2015, 3:15 am
In today's article, we consider the ordeal of a registered representative who was accused of engaging in improper sales of annuities and wound up being sued by a customer in a FINRA Arbitration.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in July 2014, and as thereafter amended, public customer Claimant Hebert represented herself (pro se) and asserted causes of action for “unsuitability, breac... [read post]
25 Nov 2013, 9:23 am
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 Bruce Scharingson submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
24 Feb 2014, 4:50 am
Nussbaum submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
10 Dec 2014, 1:18 am
As Bill so often asks in exasperation with FINRA: What the hell happened here and why won't you tell us? [read post]
