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26 Apr 2019, 1:47 am
Oh my, this is certainly going to be a mess of a FINRA ar... [read post]
20 Nov 2013, 3:25 am
Consider this BrokeAndBroker Blog.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, Connie Louise Clarke submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
19 Mar 2018, 3:39 am
Merrill Lynch Wins Puerto Rico Bond Arbitration Via Counterclaim (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/3886/merrill-lynch-puerto-rico/Frequent readers of the BrokeAndBroker.com Blog know that our publisher Bill Singer, Esq. is a long-suffering critic of FINRA Arbitration. [read post]
5 Oct 2015, 3:00 am
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, Pegeen McLaughlin Lodge submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
13 Jul 2017, 3:27 am
Too bad that the C-suiters at FINRA's large member firms are always meticulous about never padding their expense vouchers. [read post]
7 Nov 2017, 5:57 am
It's a fascinating case because FINRA didn't exist and BrokerCheck didn't exist when the stockbroker left the industry. [read post]
22 Apr 2018, 4:34 am
Barry Franklin Connell, Respondent (FINRA Arbitration Decision, Majority Public Panel, 17-01958 / April 19, 2018)https://www.finra.org/sites/default/files/aao_documents/17-01958.pdfIn a FINRA Arbitration Statement of Claim filed in July 2017, Claimant Morgan Stanley asserted conversion, fraud, and breach of fiduciary duty. [read post]
4 Jul 2022, 7:46 pm
Securities and Exchange Commission, Respondent (Opinion, DC Cir)Oppenheimer Customer Wins Over $200,000 in FINRA Arbitration for Something Involving SomethingIn the Matter of the Arbitration Between Gerald A. [read post]
13 Mar 2023, 4:17 am
FINRA's Travesty of a Transamerica Settlement (BrokeAndBroker.com Blog) Joint Statement by Department of the Treasury, Board of Governors of the Federal Reserve System, and Federal Deposit Insurance Corporation (March 12, 2023) JOIN the Financial Professionals Coalition, Ltd 4Cir Affirms Denial of Motion to Vacate FINRA Arbitration AwardKayvan Karoon; KS Capital Management, Inc., Appellants, v. [read post]
26 Feb 2018, 3:33 am
Bubitotious Infectosis, FINRA Exams, and Loaded Dice (BrokeAndBroker.com Blog) http://www.brokeandbroker.com/3849/finra-test-/It's a story as old as elementary school. [read post]
25 Jun 2018, 6:14 am
In today's featured FINRA public customer arbitration against both UBS and Morgan Stanley, we have some curious facts and allegations. [read post]
2 Nov 2020, 8:07 am
FINRA imposes fines and sanctions if you give too much help to your friends. [read post]
21 Oct 2015, 10:13 am
Read this recent FINRA arbitrationCase In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in October 2013, public customer Claimant Phillips representing himself pro se alleged the following causes of action against Respondent Chase Investment Services: breach of fiduciary duty,misrepresentations,omission of facts,failure to supervise,negligence, andfailure to execute. [read post]
12 Jun 2023, 4:15 am
There's Something Happening Here at a FINRA Customer Arbitration; What It Is Ain't Exactly Clear. [read post]
6 Sep 2022, 4:06 am
GUEST BLOG: [In]Securities: Trading Cards as a Meditation: Are NFTs by Aegis Frumento Esq (BrokeAndBroker.com Blog)A Lack of Finality: The Trevor Saliba Saga at FINRA and the SEC (BrokeAndBroker.com Blog)FINRA board member's firm settles cases without disclosure of conflicts (Financial Planning by Tobias Salinger)EmpiresX Head Trader Pleads Guilty to Global Cryptocurrency Investment Fraud Scheme that Amassed Approximately $100 Million from Investors (DOJ Release)Manhattan… [read post]
19 Oct 2015, 6:05 am
Consider this recent FINRA 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 adjudi... [read post]
19 Jan 2016, 2:46 am
As to those of you who got nailed by your employer and/or FINRA, how much justice can you afford? [read post]
8 Aug 2022, 4:02 am
UBS Securities, LLC, UBS AG, Defendants/Appelants/Cross-Appellees (2Cir Opinion)Weymouth Man Pleads Guilty to Market Manipulation Conspiracy / Defendant conspired with manipulative stock traders in China and United States (DOJ Release)Los Angeles Man Pleads Guilty to Insider Trading Conspiracy (DOJ Release)CFTC Charges Nevada Metals Trader with Spoofing in Gold and Silver Markets (CFTC Release)Digital Signatures / FINRA Reminds Firms of Their Obligation to Supervise for Digital Signature… [read post]
9 Apr 2021, 6:00 am
Vellon, Respondents (FINRA Arbitration Award) ... [read post]
17 Jun 2013, 10:45 am
In this column, compare thea somewhat terse FINRA Arbitration Decision with all the edgy stuff that Bill somehow managed to dig up. [read post]
