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15 Apr 2022, 2:34 pm
FINRA Is Aligning Its MAP CAIF Grouping Model With Firm Tofu And Feedback -- or so it seems (BrokeAndBroker.com Blog)Former Domino’s Pizza Accountant to Pay Nearly $2 Million Penalty for Insider Trading (SEC Release)SEC Awards $580,000 to Whistleblower ClaimantOrder Determining Whistleblower Award ClaimsSEC Charges Israeli Corporate Insider and Friend with Insider Trading (SEC Release)Albuquerque investment broker pleads guilty to mail and wire fraud and failure to file tax returns… [read post]
15 Sep 2020, 9:19 am
Discovery Misconduct by FINRA Enforcement Prompts Tepid Response from Regulator (BrokeAndBroker.com Blog)SEC Brings Charges Against Clean Water Project Founder for Defrauding Investors (SEC Release)Diversity Matters, Disclosure Works, and the SEC Can Do More: Remarks at the Council of Institutional Investors Fall 2020 Conference (Speech by SEC Commissioner Allison Herren Lee)FINRA Arbitrator Recommends Expungement of Customer Complaint Prompted by Family DisputeIn the Matter… [read post]
17 May 2019, 9:41 am
Cento Fine Foods sued by customers claiming San Marzano tomatoes are not authentic: reports (FoxBusiness.com) SEC, NASAA, and FINRA Issue Senior Safe Act Fact Sheet to Help promote Greater Reporting of Suspected Senior Financial Exploitation (FINRA Press Release)Merrill Lynch Wins Motion to Dismiss Stale Customer Claims -- But Barely (BrokeAndBroker.com Blog)Josh Brown: T... [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]
22 Jan 2021, 10:53 am
Legal experts weigh in (Marketwatch by Mark DeCambre and Andrew Keshner)FINRA Censures and Fines Goldman Sachs For Fingerprinting FailuresIn the Matter of Goldman Sachs & Co. [read post]
15 Feb 2012, 8:31 am
The Financial Industry Regulatory Authority (FINRA) is taking a closer look at a fast-growing alternative investment known as a non-traded business development company (BDC). [read post]
5 Jun 2023, 4:09 am
Branch Manager and FINRA Fail to See Red Flags of Unsuitability Involving Senior Customers (BrokeAndBroker.com Blog) Physically Delivering Digital Assets In Order To Satisfy CFTC's Observation (BrokeAndBroker.com Blog) Bill Singer, Publisher of the Securities Industry Commentator and the BrokeAndBroker.com Blog, Calls for BOYCOTT of 2023 FINRA Elections DOJ RELEASES Former Co-Owner Of Minnesota Vikings Sentenced To 75 Months In Prison For Providing Shadow Banking Services… [read post]
28 May 2021, 8:56 am
Three FINRA AWCs and One Mess of an Arbitration Raise Unanswered Questions About Supervision (BrokeAndBroker.com Blog)Retired FBI Agent Charged With Fraud in $800,000 'Secret Probation' Scheme (DOJ Release)SEC Charges U.S. [read post]
4 Mar 2022, 10:21 am
FINRA Arbitrators Award Over $2 Million In Disputed Customer Transfer and Asset Purchase Agreement (BrokeAndBroker.com Blog)Former Cantor Fitzgerald Trader Sues Over Wrongful Termination Involving Child Care Leave (BrokeAndBroker.com Blog)New York Man Sentenced to Four Years in Prison for Role in Bank Fraud (DOJ Release)North Carolina Man Charged with Wire Fraud, Securities Fraud, and Money Laundering in Connection with Ponzi Scheme (DOJ Release)SEC Charges Previously-Barred Investment… [read post]
20 Apr 2015, 3:52 am
FINRA Named As Defendant In Case Alleging Altered Electronic FilesToday's BrokeAndBroker.com Blog discusses a civil Complaint involving the somewhat esoteric legal issue of "spoliation," which involves the alleged destruction or alteration of evidence. [read post]
10 Oct 2022, 4:49 am
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 ANNOUNCES PROPOSED RULE ON CLASSIFYING EMPLOYEES, INDEPENDENT CONTRACTORS;… [read post]
25 Aug 2020, 12:29 pm
Morgan Stanley Settlement Includes FINRA Fine and Investor Restitution According to the Financial Industry Regulatory Authority (FINRA), Morgan Stanley Wealth Management has consented to pay a $175K fine and more than $774K in restitution for allegedly failing to supervise its former broker Kevin Gunnip. [read post]
18 Feb 2016, 12:53 pm
Well researched essay on the history of arbitration by Professor Jill Gross of Pace Law School - the point of which is "[r]ather than depicting FINRA arbitration as an alternative dispute resolution process offering a level playing field, FINRA, as well as industry and investor advocates, should recall and reinforce the historical basis of securities arbitration as a mechanism to protect investors. [read post]
22 May 2023, 4:15 am
Light Bulbs, Coffee Cakes, and FINRA's Regulation of Stockbrokers Designated As Estate Beneficiaries (BrokeAndBroker.com Blog) https://www.brokeandbroker.com/7046/finra-estate-beneficiary/ A Wells Fargo customer wanted to name her stockbroker as a Beneficiary of her accounts. [read post]
29 Jul 2015, 8:19 am
After a nearly three-year battle, the public customers in a FINRA arbitration against Morgan Stanley and other respondents emerge victorious. [read post]
3 Apr 2022, 9:04 am
CrenshawFINRA Bars Rep For Converting Checks from Senior CustomersIn the Matter of Marianne O'Shee Smith, Respondent (FINRA AWC)FINRA Sued in the Wrong Place At the Wrong Time (BrokeAndBroker.com Blog)3Cir Considers Absolute Privilege For Alleged Form U5 Defamation (BrokeAndBroker.com Blog)... [read post]
23 Jan 2015, 4:55 am
Then there are questions as to whether the regulator was asleep at the switch.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 of any issue, OptionsHouse LLC submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA ... [read post]
21 May 2021, 3:23 am
Whistleblower Gets Screwed But FINRA Doesn't Care (BrokeAndBroker.com Blog)In the Matter of the Application of Michael Andrew DeMaria for Review of Action Taken by FINRA (SEC Order)California Resident Sentenced to 121 Months in Prison for Facilitating Telemarketing Conspiracy that Defrauded Thousands of Vulnerable U.S. [read post]
30 Jan 2023, 4:17 am
The SEC Toys With A Dead FINRA Expungement Mouse for 50 Months (BrokeAndBroker.com Blog) Federal Appellate Court Affirms Dismissal of Wells Fargo and FINRA (BrokeAndBroker.com Blog) DOJ RELEASES Accountant Ordered to Pay Restitution and Serve Probation for Fraud Scheme Targeting D.C. [read post]
12 Dec 2022, 3:12 am
Newborn Baby, Paternity Leave, Away Account, Loss of Job, and the FINRA Fine and Suspension (BrokeAndBroker.com Blog)Edward D. [read post]
