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18 Oct 2013, 4:18 am
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, Steven Lee Goldberg submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
2 Nov 2020, 8:07 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5515/securities-industry-commentator/Two Men Indicted For Allegedly Operating Multimillion Dollar Sports Betting Pyramid Scheme In Las Vegas / Defendants Allegedly Defrauded More Than 600 Investors (DOJ Release)Russian Cybercriminal Sentenced to Prison for Role in $100 Million Botnet Conspiracy (DOJ Release)SEC Division of Enforcement Publishes Annual… [read post]
23 Dec 2013, 3:20 am
Johnson submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted... [read post]
10 Jul 2017, 3:54 am
Stephen Kohn And Hugh Hewitt Champion Richard Botkin's FINRA Appeal So what happens to the hundreds of thousands of registered men and women when they drive with a broken taillight on Wall Street? [read post]
17 Jun 2013, 10:41 am
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, Keith Dow Powell submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
25 Jul 2016, 3:51 am
Two FINRA regulatory settlements. [read post]
10 Apr 2018, 8:33 am
It is a sobering message.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, Bret Lee Niemuth submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
14 Oct 2013, 10:11 am
Many registered persons are convinced that the FINRA arbitration process is loaded against them and they cannot get a fair shake. [read post]
18 Jan 2022, 3:17 am
CLSA Americas, LLC, Respondent (FINRA Arbitration Award)... [read post]
4 Jun 2021, 2:04 pm
The TD Ameritrade Stockbroker and The Customer Were Friends Until Options Trading Came Between Them (BrokeAndBroker.com Blog)FINRA Alerts Firms to Phishing Email Using "gateway-finra.org" Domain Name (FINRA Regulatory Notice)SEC Charges Portfolio Manager with Using Forged Document to Offer Securities to Investor (SEC Release)SEC Charges Couple With Insider Trading on Confidential Clinical Trial Data (SEC Release)SEC Charges Florida Real Estate Companies and Executive with… [read post]
7 Jun 2019, 11:12 am
Morgan Keegan & Company, LLC, Respondent (FINRA Arbitration 18-03423 / June 7, 2019). http://www.finra.org/sites/default/files/aao_document... [read post]
2 Mar 2015, 8:21 am
I frequently criticize FINRA for trying to land the knock-out punch on the industry's small fry when there isn't the same blood-lust displayed with some of the big fish. [read post]
30 Apr 2021, 3:58 am
Raymond James Stuck With Unappealing FINRA Arbitration (BrokeAndBroker.com Blog)Owner of Currency Exchange House Pleads Guilty to Intentionally Violating Anti-Money Laundering Laws (DOJ Release)Financial Advisor Sentenced to More Than 13 Years in Prison for Swindling Investors Out of $5.1 Million (DOJ Release)Fugitive Guatemalan Man Indicted for Wire Fraud (DOJ Release)The Elderly Customer, The Will, The Stockbroker, The Complaining Brother, And The Post-Mortem Wires and Checks… [read post]
10 Nov 2015, 5:23 am
Don't Miss Bill Singer's CASE IN POINT Video Series Wall Street Legal, Regulatory and Compliance Issues Final Episode To Be Released On November 24th November 17, 2015: Veteran industry attorney and BrokeAndBroker.com Blog publisher Bill Singer talks with Brittany Weiner, attorney with Imbesi Law PC, about former Wells Fargo broker Donna Sabb, and a family feud that spilled over into FINRA arbitration; Sabb, who was sued by her nieces and a nephew over… [read post]
5 Jun 2023, 4:09 am
Federal Circuit Court Says Price Isn't Right In UBS Whistleblower Retaliation (BrokeAndBroker.com Blog) 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 SCOTUS Says… [read post]
12 Jun 2017, 3:57 am
After the couple put their flawed plan into action, FINRA responded with a fine and suspension. [read post]
22 Jan 2021, 10:53 am
Former Merrill Lynch / BOA Employee Wins Dramatic FINRA Expungement (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5656/finra-merrill-lynch-expungement/Imagine the plight of an associated person, who is accused of the unauthorized opening of a bank account for a client. [read post]
23 Jul 2014, 5:47 am
The BrokeAndBroker Blog examines one recent FINRA arbitration in which a named stockbroker not only denied the customer's charges but filed a counterclaim.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in April 2013, public customer claimants Charles and Frances Prignano alleged breach of fiduciary duty, neglig... [read post]
14 Nov 2022, 3:08 am
To Forgive Is A FINRA Fine. [read post]
22 Apr 2013, 4:27 am
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, Earl William Fay submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
