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8 May 2023, 4:47 am
FINRA's Board is silent. [read post]
20 Feb 2014, 8:01 am
In the Matter of the FINRA Arbitration Between Greg Go... [read post]
19 Nov 2018, 4:44 am
In today's blog, we come across a relatively short FINRA Arbitration Decision that proves how interesting cases can sometimes come in small packages. [read post]
25 Mar 2015, 7:48 am
At first blush, the FINRA AWC discussed in today's BrokeAndBroker.com Blog seems a commendable effort by FINRA to delve into matters involving a victimized elderly brokerage customer. [read post]
13 Nov 2020, 8:14 am
(RIABiz by Oisin Breen)FINRA Gives Rep the Business Over Personal Expenses (BrokeAndBroker.com Blog)Tucson Banker Sentenced to 40 Months in Prison for Defrauding 82-Year-Old Customer (DOJ Release)Shasta County and Butte County Residents Charged in $35M Ponzi Scheme (DOJ Release)FINRA Fines and... [read post]
17 Jun 2021, 3:25 am
FINRA Alerts Firms to Phishing Email From "FINRA Support" from the Domain Name "westour.org" (FINRA Regulatory Notice)Former Chief Operating Officer of Philadelphia Technology Start-Up Charged with Securities Fraud and Embezzlement (DOJ Release) SEC Charges Former Company Executive with Defrauding Investors (SEC Release)CEO of Limited Liability Company Sentenced to 30 Months in Prison for Wire Fraud (DOJ Release)SEC Obtains Final Judgment Against Former… [read post]
11 Jan 2019, 3:21 am
Edward Jones Hit With $2 Million ADA Damages In FINRA Arbitration In the Matter of the Arbitration Between Rodney Hunter Schurg, Claimant, v. [read post]
14 May 2021, 4:09 am
Raymond James Financial Services, Respondent (FINRA Arbitration Award 20-02776)FINRA Publishes Helpful Notice About Online Account Takeover (ATO) (BrokeAndBroker.com Blog)The Vanguard Customer Didn't Ask, Didn't Listen, But The Firm's Voicemail Sucks (BrokeAndBroker.com Blog)... [read post]
28 Aug 2020, 8:54 am
FINRA Proposes OHO and NAC Hearings Via ZOOM (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5413/finra-covid-zoom/As if things weren't bad enough among the FINRA broker-dealer community, now the self regulator wants to force respondents to participate in ZOOM teleconferenced regulatory hearings before its Office of Hearing Officers ("OHO") panels and its National Adjudicatory Council ("NAC"). [read post]
25 Jun 2018, 6:49 am
Wall Street watchdog accused of age discrimination (New York Post by Kevin Dugan)https://nyp.st/2tsw9pyThe New York Post article asserts in part that:The Financial Industry Regulatory Authority ousted roughly 20 senior employees after it lost a lucrative contract with the New York Stock Exchange, according to a lawsuit filed by one of the employees.Brian McIntyre, a former analyst at FINRA, claimed in court papers that each of the employees pushed out was over 40 years old.McIntyre, who had… [read post]
30 Sep 2016, 5:00 am
September 2016 FINRA Arbitration Decision In a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in August 2015, public customer Claimants Joyce and Keith Reuter alleged: unauthorized borrowing, unauthorized trading, civil theft by fraud under Wis. [read post]
8 Sep 2020, 1:03 am
FINRA Imposes Fine and Suspension Over Deceased Second Cousin Once Removed (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5424/finra-awc-cousins/We got cousins. [read post]
27 Nov 2020, 12:05 pm
Customer's Annuities Lawsuit Backfires During FINRA Arbitration(BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5571/finra-arbitration-radle/As far as these things go, this one started out in the usual fashion with a disgruntled public customer suing for losses sustained from his purchase of annuities. [read post]
4 Oct 2019, 8:38 am
The Illogical Logic of FINRA's Willful Non-Disclosure of Tax Liens (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4849/finra-tax-liens/Captain's log Star Date 20191011. [read post]
1 Mar 2015, 2:13 pm
The SEC has approved a FINRA rule proposal which will dramatically change the composition of arbitration panels. [read post]
30 Oct 2014, 3:10 am
What is a little less clear -- and in need of some fine tuning -- is the content of some of FINRA's published regulatory settlements. [read post]
10 May 2019, 5:08 am
In a recent regulatory settlement, FINRA barred a former registered representative, who had become a nonregistered, associated person. [read post]
7 May 2021, 4:10 am
Federal Court Says Second Amended Complaint Looks Too Much Like First Amended Complaint (BrokeAndBroker.com Blog)Fidelity and Schwab oddly take opposite sides on issue critical to money market funds as an SEC, alarmed by systemic risks, puts NAVs under spotlight (RIABiz by Oisin Breen)FINRA Censures and Fines SpeedRoute for SupervisionIn the Matter of SpeedRoute LLC, Respondent (FINRA AWC)Federal Court Rejects TRO Against Brokerage Firm and RIA (BrokeAndBroker.com… [read post]
28 May 2013, 5:35 am
In the Matter of the FINRA Arbitration Between Wedbush Securities Inc., Claimant/Counter-Respondent, vs. [read post]
10 Jun 2013, 3:04 am
In the Matter of the FINRA Arbitration Between Lehman Brothers Holdings Inc., as assignee of Lehman Brothers. [read post]
