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9 Sep 2016, 7:36 am
In today's BrokeAndBroker.com Blog, publisher Bill Singer, Esq. makes it clear that FINRA got its man dead to rights. [read post]
10 Sep 2013, 8:42 am
Here is the case of one broker who managed to rack up far too many FINRA violations; notwithstanding, it is an impressive game to watch unfold.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, Marcos Leiva submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which… [read post]
18 Sep 2017, 3:56 am
Lawyers Cast Aspersions In Nasty FINRA Arbitration Involving Divorced Couple http://www.brokeandbroker.com/3597/finra-lawyers-aspersions/On one side of today's featured FINRA customer arbitration we got an ex-wife. [read post]
12 Feb 2021, 11:24 am
In the Matter of Jenny Xinfang Feng, Respondent (FINRA AWC 2018058750801)https://www.finra.org/... [read post]
22 May 2017, 1:14 pm
On June 1, 2017, I published "Bill Singer Submits Rare FINRA Comment" (BrokeAndBroker.com Blog, June 1, 2017), which presented my formal comment in response to a FINRA Special Notice. [read post]
28 Feb 2022, 3:42 am
Wells Fargo Advisors, LLC, Respondent (FINRA Arbitration Award)SEC Charges Former Broker for Stealing from Elderly Investors (SEC Release)SEC Charges Investment Adviser with Failing... [read post]
29 Apr 2013, 4:11 am
In the Matter of the FINRA Arbitration Between UBS Financial Services, Inc., Claimant/Counter-Respondent, vs. [read post]
17 Sep 2022, 9:15 am
Cuyahoga Gone in Appellate Ruling To Send Dispute to FINRA Arbitration (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6662/cedar-brooks-schlang-finra/The parties entered into a 2016 Redemption Agreement whereby Bradley Schlang was bought out of the company pursuant to 10 years of quarterly payments. [read post]
18 Jul 2022, 4:06 am
<a href="#kohn">Notice of Annual Meeting of FINRA Firms and Election Proxy (FINRA Election Notice)VOTE FOR STEPHEN A. [read post]
20 Jun 2013, 5:53 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, David Albert Urovsky submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
27 Aug 2022, 9:19 am
There is a gap between when FINRA knew or should have kno... [read post]
24 Dec 2020, 3:37 am
8Cir Asserts FINRA Enforces its Regulatory Rules Through Its Arbitration ForumGary Luis; Caryl Luis; Gary A. [read post]
14 Nov 2022, 3:08 am
FINRA Fines and Suspends Former SagePoint Rep Who Didn't Actually Know Anything (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6768/finra-awc-actually/Quite often, Wall Street's regulatory settlements leave me feeling ambivalent. [read post]
25 Mar 2022, 12:16 pm
FINRA Arbitrators Hit Commonwealth Financial with Compensatory and Punitive Damages in Defamation Case (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/6375/womack-commonwealth-finra/In a recent FINRA Arbitration Award, it seemed that ... [read post]
28 Sep 2017, 4:52 am
She says that she never got any notices from FINRA. [read post]
16 Jan 2018, 3:23 am
According to FINRA’s latest margin statistics, borrowing by investors in November 2017 stood at an all-time high of $627.4 billion. [read post]
22 Aug 2021, 6:49 am
Surprise, Surprise, Surprise In FINRA Intra-Industry Defamation Arbitration(BrokeAndBroker.com Blog)http://www.brokeandbroker.com/6027/finra-arbitration-defamation/Given my advanced age and decades of lawyering, there isn't much that surprises me anymore. [read post]
28 Dec 2018, 7:15 am
In accordance with the terms of the AWC, FINRA imposed upon Weakland a $3,500 fine and a two-month suspension in all capacities. [read post]
19 Dec 2019, 12:57 am
In this gig economy, how does all that gigging get you into trouble with FINRA? [read post]
13 Aug 2022, 8:55 am
Claimant Wins $57 Million in FINRA Arbitration Award and Once More Around The Loop with Bill Singer (BrokeAndBroker.com Blog)Federal Court Finds SEC Approval of FINRA Reporting Requirements "Arbitrary and Capricious" -- Cites Cost of FINRA Build-OutBloomberg L.P., Petitioner, v. [read post]
