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24 Dec 2020, 3:37 am
Last Dance for FINRA's Zipper? [read post]
18 Oct 2019, 4:41 am
featured in today's Securities Industry Commentator:What's Olde Isn't Necessarily New in the Digital Age (BrokeAndBroker.com Blog)Computer Programmer Pleads Guilty In Cyberattack Threat Case (DOJ Release)SEC Charges 18 Traders in $31 Million Stock Manipulation Scheme (SEC Release)California Resident Sentenced to Prison for Selling Fraudulent Financial Instruments and Tax Fraud (DOJ Release)FINRA Bars Ami Forte and Charles Lawrence for Their Roles in Churning Accounts of… [read post]
18 Feb 2021, 5:14 am
., Mangan & Ginsberg LLP, and Michael Rothstein, Defendants (Memorandum, EDPA)Not Getting Away With What You Are Trying To Get Away With On Wall Street (BrokeAndBroker.com Blog)FINRA Bars Rep Over Private Securities TransactionsIn the Matter of Scott Wayne Reed, Respondent (FINRA AWC)SEC Awards Almost $3 Million Total in Separate Whistleblower Awards (SEC Release)... [read post]
2 Oct 2020, 8:47 am
Taxpayers to Hide Assets and Income in Offshore Accounts (DOJ Release)CFTC Posts Record-Breaking Enforcement Year / Filed More Enforcement Actions Than Any Other Year In Agency’s 45-Year History (CFTC Release)Connecticut Man Pleads Guilty to Ponzi and Tax Fraud Scheme (DOJ Release)FINRA Fines and Suspends Investment Banking Rep Over Exempted Securities TransactionsIn the Matter of Steven Michael Gribben, Respondent (FINRA AWC)CFTC Unanimously Approves a Final Rule Amending… [read post]
21 May 2022, 10:04 am
TradeZero, Meme Stocks, and High Dudgeon From the SEC (BrokeAndBroker.com Blog)94 Days And Counting For FINRA's Independent Review Of Its Arbitration Selection Process (BrokeAndBroker.com Blog)Stephen A. [read post]
18 Feb 2021, 5:14 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5711/securities-industry-commentator/GUEST BLOG: COVID-19's Impact on Financial Advisors / How the Pandemic is Changing the Way Advisors Work by Michael King of Michael King Associates (BrokeAndBroker.com Blog)SEC Charges Individual for Engaging in Illegal Unregistered Offering (SEC Release)SEC Issues Whistleblower Awards Totaling Over $1.7 Million… [read post]
12 Mar 2022, 7:45 am
SEC Claims Review Staff Tortures Whistleblower With Denial of Eventual $14 Million Award (BrokeAndBroker.com Blog)Former Temple Business School Dean Sentenced to Over One Year in Prison for Rankings Fraud Scheme (DOJ Release)Woodbridge Money Launderer Sentenced for his Role in a Romance Fraud Scheme (DOJ Release)FINRA Fines and Suspends Rep for High Frequency Trading and DiscretionIn the Matter of Crown Capital Securities, L.P., Respondent (FINRA AWC)SEC Claims Review Staff… [read post]
10 Oct 2022, 4:49 am
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 $24,280,829.20 Related to Apparent Violations of Multiple Sanctions Programs (Treasury Department Release)US DEPARTMENT OF LABOR… [read post]
16 Dec 2013, 8:54 am
Today's BrokeAndBroker Blog is about a minor failure to follow the rules but, nonetheless, a shortcoming that resulted in a fine and suspension.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, Jason Goldstein submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which… [read post]
1 Jul 2013, 2:41 am
In the Matter of the FINRA Arbitration Between Michael Saunders and Yvonne Saunders, Claimant... [read post]
18 Mar 2022, 11:51 am
Wells Fargo Promissory Note Case Enters Its Second Decade of Litigation (BrokeAndBroker.com Blog)Ex-Roommate and Co-Conspirator of Former Philadelphia Eagle Sentenced to 2 Months for Insider Trading Scheme (DOJ Release)Federal Court Orders Tennessee and Kentucky Men and Their Company to Pay Over $5 Million for Commodity Futures Pool Fraud (CFTC Release)Motion to Vacate FINRA Arbitration Award Fails To Raise Federal Jurisdiction (BrokeAndBroker.com Blog)FINRA Bars JP Morgan… [read post]
17 Sep 2013, 10:08 am
In the Matter of the FINRA ... [read post]
27 Feb 2020, 11:14 am
Department of Justice Charges Unprecedented Number of Elder Fraud Defendants Nationwide and Launches Hotline (DOJ Release)Bill Singer's Annual Warning: Disclose Your Tax Liens (BrokeAndBroker.com Blog)Rep Fined And Suspended by FINRA for Undisclosed Customer Settlement. [read post]
14 Apr 2021, 8:00 am
Robinhood Financial, LLC, Respondent (FINRA Arbitration Award)... [read post]
9 Feb 2017, 11:54 am
PERSONAL MESSAGE FROM BrokeAndBroker.com Blog publisher Bill Singer: "Sharemaster Becomes The Beastmaster Of FINRA And SEC" (BrokeAndBroker.com Blog, February 17, 2017) presented the saga of FINRA member firm Sharemaster and its Sole Proprietor Howard Feigenbaum as they battled the ponderous and constipated bureaucracies of both the Securities and Exchange Commission and the Financial Industry Regulatory Authority. [read post]
3 Apr 2023, 4:20 am
FINRA Arbitration Award Gives Us A Case of Gas From Chipotle Bean Burrito Puts (BrokeAndBroker.com Blog) Steven Schwartz, Plaintiff, v. [read post]
21 Jun 2022, 4:24 am
<a href="#jpms">JP Morgan Securities Sued for Over $10 Million in Team Dissolution FINRA Arbitration (BrokeAndBroker.com Blog)</a>Justice Department Secures Groundbreaking Settlement Agreement with Meta Platforms, Formerly Known as Facebook, to Resolve Allegations of Discriminatory Advertising / Lawsuit is the Department's First Case Challenging Algorithmic Discrimination Under the Fair Housing Act; Meta Agrees to Change its Ad Delivery System (DOJ Release)SEC… [read post]
30 Sep 2013, 7:40 am
In the Matter of the FINRA Arbitration Between Michael Paul Farah, Claimant/Counter-Respondent,... [read post]
4 Oct 2019, 8:38 am
Invest Financial Corporation, Respondent (FINRA Arbitration Decision)... [read post]
16 Oct 2020, 11:19 am
Insana: Kudlow is wrong, this is not a V-shaped recovery (CNBC by Ron Insana)NYS Appellate Division Hands Defendants Setback In Lawsuit with Brummer and FINRA (BrokeAndBroker.com Blog)Federal Court Issues TRO Staying FINRA Arbitration After SRO Summarily Denied StayLincoln Fin. [read post]
