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11 Jul 2017, 4:54 am
"Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in September 2016, associated person Claimant Bryant asserted that Respondent State St... [read post]
15 Mar 2019, 6:26 am
In September 2014, Billington died, but that only begins the saga of his Trust's lawsuit against his former employer.Case In Point In a FINRA Arbitration St... [read post]
27 Jul 2015, 2:56 am
In a recent FINRA regulatory settlement, we see one registered representative waive the white flag in the face of the regulator's frontal assault on his position to conduct a largely commission-only business when it seems that a fee structure would have been fairer to many of his customers. [read post]
31 Jan 2019, 4:35 am
Today's blog arises from a FINRA Arbitration Decision that tells us next to nothing about the substance of a multi-million dollar complaint filed against 10 respondents. [read post]
20 Mar 2017, 5:59 am
Although the BrokeAndBroker.com Blog's publisher Bill Singer, Esq. readily concedes that the majority of such disclosure failures are likely willful, he remains adamant that FINRA must be meticulous in explaining why apparently similar fact-patterns produce disparate labels of willful and non-willful disclosure. [read post]
27 Mar 2015, 12:41 pm
Setting aside my hypothetical pack of gum scenario, consider today's BrokeAndBroker.com Blog and ask yourself how the transaction wound up before FINRA -- and i... [read post]
18 Aug 2016, 11:12 am
And thus begins our voyage of a FINRA public customer arbitration through a federal district court and onto the shores of a federal circuit court. [read post]
13 Jul 2017, 3:25 am
FINRA aggravates Bill. [read post]
2 May 2017, 5:20 am
Ultimately, it is a battle between the competing desires for customer service and the need to mitigate damages.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in February 2016, public customer Claimant Bell asserted breaches of contract and fiduciary duty, and negligence in connec... [read post]
7 Jan 2019, 4:59 am
If you don't understand all the ensuing moves and the endgame, don't worry -- there will be plenty of repeat matches with the same opening throughout 2019.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in April 2016, and as amended, associated person Claimant Gefen ultimately a... [read post]
21 Feb 2017, 2:03 am
If you're going through only the motions of looking, then everything is a silly game and nothing worth looking for gets found.Case In PointFor 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... [read post]
26 Dec 2017, 3:09 am
In a recent FINRA regulatory settlement, we see the best and worst of Wall Street regula... [read post]
11 Jul 2018, 9:54 am
On the other hand, as evidenced in today's featured FINRA regulatory settlement, some folks are old-school and on this throwback Thursday, we got an old-fashioned bit of cut-and-paste and an even more prehistoric tracing! [read post]
25 Nov 2017, 4:42 am
In a recent FINRA regulatory settlement, we consider the fine and suspension imposed upon a registered rep who engaged in an excess of customer service when it came to completing forms and obtaining original signatures. [read post]
9 Oct 2017, 2:10 am
As demonstrated in a recent FINRA regulatory settlement, Bill is once again on the warpath. [read post]
3 May 2019, 6:26 am
Except, you know, should a FINRA Arbitration Panel restrain mere criticism? [read post]
2 Mar 2016, 5:32 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in April 2014,... [read post]
25 May 2012, 1:48 pm
Investors seeking information about their brokers will now enjoy upgraded features on the FINRA BrokerCheck website, including the following: - Centralized access to licensing and registration information on current and former brokers, brokerage firms, investment adviser representatives and investment advisor firms [read post]
16 Jan 2018, 3:22 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in December 2015, Claimant Odeon Capital Group asserted breaches of express written contract, fiduciary duty and the covenant of good faith and fair dealing; action for an accounting; constructive trust; unjust enrichment/ disgorgement; specific performance; tortious... [read post]
5 Nov 2014, 12:12 pm
FINRA needs to correct this, and needs to do so immediately. [read post]
