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8 Feb 2019, 4:22 am
Statement on Shareholder Proposals Seeking to Require Mandatory Arbitration Bylaw Provisions by SEC Chairman Jay Clayton (SEC Public Statement)https://www.sec.gov/news/public-statement/clayton-statement-mandatory-arbitration-bylaw-provisions-and-SEC Division of Corporation Finance "Staff No-Action Letter" RE; Johnson & Johnson incoming letter dated December 11, 2018 (SEC No-Action Letter February 11, 2019 to Marc S. [read post]
18 Jul 2022, 4:06 am
GUEST BLOG: [In]Securities: They’re All Here: The Three Circles of Securities Fraud Hell by Aegis Frumento Esq (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6568/aegis-frumento-insecurities-fraud/Industry lawyer Aegis Frumento tries to make sense out of Rule 10b-5 -- a mere 118 words that have bedeviled securities lawyers for years. [read post]
12 Dec 2022, 3:12 am
Attorney's Office Announces the Seizure of 55 Domain Names that Violated Copyrights by Illegally Live Streaming the World Cup (DOJ Release)SEC RELEASESSEC Charges Samuel Bankman-Fried with Defrauding Investors in Crypto Asset Trading Platform FTX / Defendant concealed his diversion of FTX customers’ funds to crypto trading firm Alameda Research while raising more than $1.8 billion from investors (SEC Re... [read post]
27 Jul 2015, 2:55 am
If you don't and you're a Wall Street employee, you might want to take a few minutes and read about one registered person's tale of woe. [read post]
18 Jan 2019, 7:08 am
The cold, harsh reality of the ongoing government shutdownIn re: Pending Administrative Proceedings (Order, '33 Act Rel. [read post]
13 Aug 2022, 8:55 am
FINRA Arbitration Panel Finds TD Ameritrade Grossly Negligent With Form U5 (BrokeAndBroker.com Blog)SEC Charges 18 Defendants in International Scheme to Manipulate Stocks Using Hacked US Brokerage Accounts (SEC Release)SEC Obtains Final Judgment Against Broker Charged with Defrauding Customers (SEC Release)Platinum Partners Portfolio Manager Daniel Small Convicted of Defrauding Bondholders in a Multi-Million Dollar Scheme / Defendant Orchestrated a Rigged Vote Relating to $150 Million in Bonds… [read post]
2 Jan 2015, 4:56 am
Lien-ing Tower Prompts FINRA Fine And SuspensionWith a new year upon us, it's often helpful to re-visit lessons that should have been learned from prior years; and what better place to start than what happens when a registered representative fails to report disclosable events. [read post]
8 Jan 2018, 3:14 am
, (Complaint, United States District Court for Connecticut, 18-CV-00055), the SEC alleges that Haddad operated Trafalgar Square Risk Management, LLC and New England RE, LLC and that he raised at least $2.5 million from 29 investors through the offer and sale of unregistered securities in each company. [read post]
28 Sep 2018, 9:06 am
Things get refunded and re-paid. [read post]
25 Jun 2021, 7:19 am
Logan, Respondent (FINRA OHO Hearing Panel Decision)SEC Obtains Final Judgment Against Former Executive for Manipulative Trading (SEC Release)SEC Charges Investment Advisers and Others with Fraud in Offering and Managing Private Funds (SEC Release)Former Bank Vice President And Friend Charged In Insider Trading Securities Fraud Scam / Former Bank Employee Agrees to Plead Guilty to Charges Involving Sharing Profits from Securities Transactions Based on Insider Information (DOJ Re... [read post]
15 Oct 2021, 12:10 pm
On the other hand, that dissent is somewhat of a technical reservation that raises some fair points, but you're still left wondering whether the ref was making a point about the fight at issue or fighti... [read post]
24 Apr 2023, 3:33 am
FINRA Arbitrator Dismisses 21 Year Old Claim Against Citigroup Global Markets (BrokeAndBroker.com Blog) https://www.brokeandbroker.com/7010/finra-citigroup-eligibility/ In today's featured FINRA Arbitration, we are reminded that he who hesitates is lost; and, while we're at it, how time and tide wait for no man (and no woman). [read post]
13 Nov 2020, 8:14 am
[In]Securities Guest Blog: Eggs from the Golden Goose By Aegis Frumento Esq (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5536/insecurities-aegis-frumento-election/Veteran Wall Street lawyer Aegis Frumento considers veteran Wall Street prosecutor Rudy Giuliani's legal strategy on behalf of the Trump re-election effort. [read post]
21 May 2018, 3:30 am
Post Mortem Auto-Pilot Trading Sends Stockbroker's Career Into Head-On Regulatory Crash (BrokeAndBroker.com Blog) http://www.brokeandbroker.com/3985/finra-awc-deceased/Regardless of the business that you're in, if you have clients, they can and do die. [read post]
3 Dec 2021, 12:59 pm
The Prolonged Saga of In re Goldman Sachs Group, Inc. [read post]
22 Aug 2018, 1:28 pm
In re: Pending Administrative Proceedings (Order, Securities and Exchange Commission; '33 Act Rel. [read post]
13 Aug 2022, 8:55 am
FINRA Arbitration Panel Finds TD Ameritrade Grossly Negligent With Form U5 (BrokeAndBroker.com Blog)Platinum Partners Portfolio Manager Daniel Small Convicted of Defrauding Bondholders in a Multi-Million Dollar Scheme / Defendant Orchestrated a Rigged Vote Relating to $150 Million in Bonds (DOJ Release)Federal Court Grants UBS Petition to Dismiss Chapter 7 BankruptcyIn Re: Robert Earl Turner, Jr., Debtor (Opinion WDTX)U.S. [read post]
31 Jan 2022, 2:35 am
FINRA the Sheriff of Nothing-ham and Robinhood (BrokeAndBroker.com Blog)In re: JANUARY 2021 SHORT SQUEEZE TRADING LITIGATION (This Document Relates to the Robinhood Tranche) (Order SDFL)FINRA the Sheriff of Nothing-ham and Robinhood (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/6256/robinhood-finra-arbitration/By now, you'd think that Wall Street's regulatory community would want something akin to full disclosure to the investing public about successful public… [read post]
13 Dec 2019, 12:38 am
You're left with $800,000. [read post]
10 Sep 2021, 1:27 pm
All of which leaves us wondering why you did it; and, frankly, I suspect that you're left to wonder the sa... [read post]
