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18 Oct 2017, 2:15 am
Absurd Unexplained Public Customer FINRA Arbitration Decision http://www.brokeandbroker.com/3630/finra-arbitration-decision/BrokerAndBroker.com Blog's publisher Bill Singer, Esq. ain't always a popular guy. [read post]
31 Jul 2020, 4:48 am
.' ball pits 'are really a nightmare to keep clean'(Fox Business by Angelica Stabil)Florida man buys $140,000 Porsche with check printed from home computer / The suspect tried to then purchase 3 Rolex watches (Fox Business by Daniella Genovese)JPMorgan Chase Bank Wins SDNY Remand to Arbitration of Cashier's Checks Escheat Case (BrokeAndBroker.com Blog)FINRA Imposes Fine and Suspension for Unsuitable Short-Term UIT TradingIn the Matter of Frederick Scott Levine,… [read post]
6 Feb 2023, 3:08 am
Edward Jones: An Ironic and Cynical Tale of Alleged Discrimination, Harassment, and Retaliation (BrokeAndBroker.com Blog) FINRA Arbitrators Award Customer $144,000 Against Charles Schwab Amid Allegation of Flawed Investment Recommendations (BrokeAndBroker.com Blog) FINRA Arbitrator Denies Indemnification Citing Firm's Failure to Supervise (BrokeAndBroker.com Blog) Calling All Unreasonable Wall Street Professionals by Bill Singer Esq ‘Phishing-as-a-service’ kits… [read post]
9 Oct 2015, 2:39 am
Read about 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 adjudication of any iss... [read post]
28 Feb 2022, 3:42 am
In that spirit, I shall gladly accept the role of raconteur and offer a story of intrigue, of dubious derring-do, of international men of mystery, and, in the end, of a garden variety investor fraud somewhat gussied up by a lot of hyperbole.No Good Deed Goes Unpunished As FINRA Sanctions Rep For Lending Money to Friend (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/6316/finra-loan-awc/A close friend of yours is in a bind and needs a f... [read post]
1 Jun 2019, 1:51 am
Consider this recent FINRA arbitration.Case In PointIn a FINRA Arbitration Statement of Claim filed in August 2018, associated person Claimant Robinson sought the expungement of a te... [read post]
12 Jun 2013, 3:35 am
All that I can tell you is that it's not a pretty sight.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, Anthony David Brentin, submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
5 Feb 2014, 5:58 am
In the Matter of the FINRA Arbitration Between Robert Michael Fenyk, Claimant, vs. [read post]
9 May 2014, 5:54 am
A pro se public customer takes on Wells Fargo and two registered persons in a FINRA arbitration involving the Great Recession and an investment philosophy. [read post]
22 Aug 2015, 3:24 am
Consider this recent FINRA settlement.Case In Point 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... [read post]
11 Jun 2021, 5:47 am
FINRA Censures and Fines Citigroup Global Markets Inc. for Failed Supervisory System (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5908/finra-citigroup-awc/When it comes to Wall Stree... [read post]
18 Jul 2014, 4:42 am
Torres submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [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]
2 Sep 2015, 2:28 am
Consider this recent FINRA settlement involving a loan between a stockbroker and his customer.Case in PointFor the purpose of proposing a settlement of rule violations alleged by the F... [read post]
30 Sep 2013, 7:28 am
In the Matter of the FINRA Arbitration Between Carmella ... [read post]
8 Aug 2020, 2:21 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5374/securities-industry-commentator/FINRA Alerts Firms to Use of Fake FINRA Domain Name (Regulatory Notice)SEC Charges Hertz’s Former CEO With Aiding and Abetting Company’s Financial Reporting and Disclosure Violations (SEC Release)Advisory Firm Settles Charges of Defrauding Investors, Agrees to Refund Allegedly Ill-Gotten… [read post]
14 Nov 2013, 2:14 am
On the other hand, FINRA thinks that the distinction between office and home is a critical one; and, frankly, I think the regulator has a point (or at least sometimes). [read post]
4 Jul 2020, 4:02 am
A recent FINRA regulatory settlement shines a harsh light on problems involving the delicate interplay between investment banking and research. [read post]
23 Aug 2019, 2:07 am
Rocky Enters Texas Ring Over Fee-For-Advice Dispute (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4785/finra-arbitration-rocky/In Rocky XXIV, we come across a fighter who transitioned his fee-for-advice business to a new FINRA member firm after obtaining assurances that the firm would expeditiously arrange to handle his model. [read post]
14 May 2021, 4:09 am
Ltd and Daniel Ripp, Respondents (FINRA AWC)... [read post]
