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24 May 2019, 9:08 am
But Stockbroker Still Forced Into FINRA Expungement Arbitration (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4613/finra-expungement/There is nothing more frustrating than knowing being wrongly named in something but the bureaucracy doesn't care. [read post]
1 Nov 2015, 4:44 am
A recent FINRA regulatory settlement raises questions about a customer who appeared intellectually challenged and whose account sustained losses of nearly one-third its value. [read post]
14 Dec 2018, 8:35 am
E*Trade Loses Shocking FINRA Margin Call Arbitration (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4347/finra-arbitration-margin/When it comes to margin accounts on Wall Street, many customers believe that they have the right to prior notification from their brokerage firm before any positions are liquidated to cover margin calls. [read post]
12 Dec 2014, 7:12 am
In a recent FINRA regulatory settlement, 18 registered folks sort of fell off their firm's compliance radar. [read post]
18 Oct 2013, 3:17 am
Consider yet another case in which elderly customers fall prey to unscrupulous practices.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, James Arnold Busch submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
29 May 2013, 5:08 am
Miller submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
9 Oct 2023, 1:21 pm
Case in Point In a FINRA Arbitration Statement of Claim filed in January 2023, public customer Claimant Arnot representing herself pro se asserted negligence. [read post]
14 Nov 2016, 7:57 am
Alas, 2016 hasn't been the best of years for a beleaguered Wells Fargo; and judging by this FINRA Arbitration, the beleaguering isn't done.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in April 2014, Claimant Wells Fargo Advisors asserted that former employee Respondent Powers had failed to pay money owed on both a July 6, 2007, Promissory Note and an October 21, 2008, ... [read post]
9 Nov 2018, 5:32 am
(FINRA) that affirmed the lifetime ban imposed on two stockbrokers, nonparties Talman H... [read post]
14 Feb 2020, 7:46 am
Morgan, Goldman Sachs, Jane Street Capital / MEMX to Launch Exchange on July 24, 2020, Pending Regulatory Approval (BusinessWire)Notice of Filing of a Proposed Rule Change to Amend the FINRA Code of Arbitration Procedure for Customer Disputes and the FINRA Code of Arbitration Procedure for Industry Disputes to Apply Minimum Fees to Requests for Expungement of Customer Disput... [read post]
3 Jan 2014, 9:55 am
FINRA's Renewal Program facilitates the renewal of registration/notice filings with participating jurisdictions. [read post]
4 Jan 2016, 4:20 am
It is my distinct pleasure to present to you an analysis of a recent FINRA intra-industry arbitration involving a dispute over a promissory note. [read post]
4 Feb 2017, 11:08 am
Or Was That FINRA? [read post]
25 Jul 2017, 10:38 am
In a recent FINRA intra-industry arbitration, we get to see the unraveling of a particularly ugly mess of an employment dispute pitting a member firm against a former employee and his new shop. [read post]
18 Jul 2022, 4:06 am
FINRA Arbitration Combines Circular Logic With a Nested Loop and a Mobius Strip in Wage Dispute (BrokeAndBroker.com Blog)Keller Man Sentenced to 14 Years in Prison and Ordered to Pay $14M in Restitution for Ponzi Scheme (DOJ Release)SEC Obtains Final Judgment Against Individual in ICO Promotion Scheme; Files Notice of Death as to John McAfee, Resulting in Dismissal of Claims (SEC Release)Federal Court Imposes Over $29 Million in Restitution and Penalties Against California and Colorado… [read post]
8 Oct 2013, 5:14 am
In the Matter of the FINRA... [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 U.S. [read post]
26 Jul 2013, 4:24 am
FINRA Department of Enforcement, Complainant, vs Wade H. [read post]
17 Jul 2017, 2:56 am
In a recent FINRA arbitration case, among the allegations is one of elder financial abuse. [read post]
13 Mar 2017, 5:00 am
Today's BrokeAndBroker.com Blog publishes a commentary about a recent FINRA intra-industry arbitration pitting an associated person against her former firm, Invesco Distributors, Inc., as a result of her allegedly wrongful termination. [read post]
