Search for: "Finra"
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23 Oct 2020, 3:31 am
Allstate (BrokeAndBroker.com Blog)FINRA Member Firm Prevails in Rare Indemnification Arbitration Against Former EmployeeIn the Matter of the Arbitration Between Capital Financial Services, Inc., Claimant, v. [read post]
4 Apr 2016, 3:36 am
Consider the efforts of an HSBC registered representative in a recent FINRA regulatory settlement.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 adjud... [read post]
1 Aug 2022, 4:04 am
Morgan Securities LLC, Respondent (FINRA AWC)... [read post]
2 Oct 2020, 8:47 am
Pro Se Customer Alleges Unsuitability of Self Directed Put Sales (BrokeAndBroker.com Blog)Despite dissenting Fed vote, Charles Schwab Corp. cleared to close TD merger Tuesday, and 'Schwabitrade' looks less fearsome than anticipated (RIABiz / October 1, 2020 by Oisin Breen)Federal Jury Hands Down Guilty Verdict Against Charlotte Woman For Stealing $300,000 From An Elderly, Dementia-Afflicted Victim / Two Other Co-Conspirators Previously Pleaded Guilty for Their Role in the Theft (DOJ… [read post]
20 Mar 2023, 3:55 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6948/securities-industry-commentator/ GUEST BLOG: [In]Securities: Wanting to Break Free: The Delaware Chancery Court Strikes Down Cantor Fitzgerald's Non-Compete Clauses by Aegis Frumento Esq (BrokeAndBroer.com Blog) SEC Tells FINRA to Raise the Gate For Ineligible Expungement Case (BrokeAndBroker.com Blog) Financial… [read post]
4 Oct 2019, 8:38 am
Clayton County, Georgia, Respondent (United States Supreme Court)FINRA Fines/Suspends Rep Over Mismarked "Solicitation. [read post]
25 Mar 2022, 12:16 pm
FINRA Referral Letter Cited In Federal Insider Trading Appeal (BrokeAndBroker.com Blog)SEC Holds Fidelity Transfer Services In Default and Orders Cease-and-Desist (No -- not "that" Fidelity but apparently another Fidelity)In the Matter of Fidelity Transfer Services, Inc. and Ruben Sanchez (SEC Opinion)Former Comptroller And Compliance Specialist At Investment Adviser Firm Pleads Guilty To Conspiring To Defraud Clients (DOJ Release)Brooklyn Man Pleads Guilty to Insider Trading and… [read post]
20 Jul 2021, 1:00 am
Already, we’ve filed several Financial Industry Regulatory Authority (FINRA) arbitration claims against broker-dealers on behalf of investors. [read post]
18 Dec 2020, 9:41 am
FINRA Sanctions Transamerica Financial Advisors, Inc. $8.8 Million for Supervisory Violations Related to Variable Annuities, Mutual Funds and 529 Plans / Firm Ordered to Pay $4.4 Million in Restitution to Approximately 2,400 Affected Customers (FINRA Release)Federal Court Affirms Merrill Lynch Victory in Nigerian Discrimination Case (BrokeAndBroker.com Blog)SEC Charges Company and CEO for $119 Million Securities Fraud Targeting Members of the South Asian American Community (SEC… [read post]
8 Nov 2019, 8:31 am
by Aegis Frumento Esq (BrokeAndBroker.com Blog)OATH Corporation CEO Sentenced For Wire, Tax, And Bankruptcy Fraud (DOJ Release)FINRA Requests Comment on a Proposed Rule to Limit a Registered Person from Being Named a Customer’s Beneficiary or Holding a Position of Trust for or on Behalf of a Customer / Comment Period Expires: January 10, 2020 (FINRA Regulatory Noti... [read post]
13 Mar 2023, 4:17 am
A Form Of Lunacy Has Overtaken The SEC (BrokeAndBroker.com Blog) FINRA's Travesty of a Transamerica Settlement (BrokeAndBroker.com Blog) Morgan Stanley Granted TRO Against Advisor Who Joined LPL / After a whirlwind two days of motion-slinging, the parties agreed to arbitration. [read post]
16 Mar 2011, 6:01 pm
The frenzy over Facebook's pre-IPO trading might be attracting fraudsters, FINRA announced in a statement today. [read post]
24 Apr 2023, 3:33 am
The Six-Year FINRA and SEC Regulatory Saga of Craig Scott Capital (BrokeAndBroker.com Blog) FINRA Arbitrators Checkmate SunTrust With Punitive Damages for Misuse of Rep's Name and Picture (BrokeAndBroker.com Blog) JPMorgan Seeks TRO Against Advisor Who Fled to Morgan Stanley / In a complaint filed last week, JPMorgan accused the advisor of criticizing its investment offerings and the advisor who replaced him, to induce clients to make the jump to Morgan Stanley. [read post]
24 Oct 2022, 3:44 am
The Problem for A Merrill Lynch Registered Rep Seeking the Expungement of a Settled FINRA Arbitration (BrokeAndBroker.com Blog)TD Ameritrade Customer Loses Incorrect Address FINRA Arbitration(BrokeAndBroker.com Blog)DOJ RELEASESThree Men Convicted of $1 Million 'Upfront-Fee' Scheme (DOJ Release)Former Raleigh Investment Advisor Found Guilty in Healthcare Fraud that Targeted the Elderly and Disabled (DOJ Release)Sarasota Man Sentenced To 23 Years In Federal Prison For… [read post]
27 Mar 2023, 4:05 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6960/securities-industry-commentator/ GUEST BLOG: [In]Securities: The Influencers: The SEC Grounds Stars' TRX by Aegis Frumento Esq (BrokeAndBroker.com Blog) FINRA Shamefully Fines and Suspends Rep For Mistakenly Using A Rep Code (BrokeAndBroker.com Blog) FINRA Doesn't Bank On It When It Comes To Wife Of… [read post]
20 Jun 2018, 10:07 am
The massive Ponzi scheme’s alleged orchestrators were all formerly registered with FINRA and employed by FINRA-registered firms, according to the SEC complaint. [read post]
27 Mar 2023, 4:05 am
FINRA Doesn't Bank On It When It Comes To Wife Of Former UBS Employee (BrokeAndBroker.com Blog) Ronald H. [read post]
10 Jan 2020, 1:41 am
LaBelle, Respondent (FINRA AWC)JP Morgan admits to 'terrible customer ... [read post]
23 Jul 2021, 12:55 pm
Commissioner of Labor, Respondent) (NYS Appellate Division)Makin' It Rain At The Strip Club -- FINRA Goes After Adult Entertainment Charges (Bro... [read post]
11 Dec 2020, 7:08 am
SEC Commissioner Peirce Sounds the Due Process Alarm In Response To FINRA Rule Amendment (BrokeAndBroker.com Blog)SEC Awards More Than $300,000 to Whistleblower with Audit Responsibilities (SEC Release)Ex-Skyworks Solutions Semiconductor Engineer Sentenced to 18 Months in Federal Prison for Committing Insider Trading (DOJ Release)Federal Court Orders Interdealer Broker to Pay $7 Million for Deceptive Trading Practices in the FX Options Markets / Former CEO and Desk Head Ordered to Pay… [read post]
