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5 Jun 2014, 10:50 am
Sadly, the FINRA Arbitration Decision doesn't offer us much in the way of underlying facts, but it does pose an edgy issue about whether a customer is in charge of the account and what ramifications such a circumstance presents.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in May 2012, in connection with a dispute concerning a variable annuity policy, public customer Claimant Pritsker asserted causes of… [read post]
25 Nov 2017, 4:42 am
UBS Trails Morgan Stanley Out the Door on Broker Protocol(Financial Advisor IQ, by Rita Raagas De Ramos November 28, 2017) http://financialadvisoriq.com/c/1806543/209103 UBS is withdrawing from the Protocol for Broker Recruiting, effective December 1, making it the second wirehouse and first original signatory to announce its exit.Edward Jones Stockbroker Shot Blanks In FINRA Customer Signature… [read post]
9 Oct 2020, 8:45 am
FINRA Fines and Suspends Merrill Lynch Rep Over Apartment Rentals (BrokeAndBroker.com Blog)Former Office Manager Sentenced To More Than 5 Years In Federal Prison For Stealing $790,600 (DOJ Release)Unlicensed New Jersey Investment Adviser Charged with Defrauding Clients Out of More than $2 Million (DOJ Release)Convicted Fraudster Pleads Guilty To New Fraud Scheme, Plea Agreement Includes Stipulated 10-Year Sentence / Scheme Resulted in Alleged Loss to Investors of at Least $7 million (DOJ… [read post]
18 Jan 2019, 9:22 am
There's also an intriguing thought-piece about whether a stockbroker should ever fire a client.2009 Public Customer Arbitration ComplaintIn a FINRA Arbitration Statement of Claim filed in June 2009, public customer Claimants asserted breaches of written contract and fiduciary duty; failure to supervise; negligence and gross negligence; misrepresentations and omissions; fraud and constructive fraud; and, violation of NYSE, NASD and/or FINRA Rules arising from their var... [read post]
22 Apr 2022, 3:49 am
Who Opened What Type of Account Becomes a Dilemma in E*Trade Federal Court Motion (BrokeAndBroker.com Blog)Two Men Are Facing Federal Charges In Connection With Multi-Million Dollar Investment Scheme (DOJ Release)Florida man who defrauded elderly investors with fake commodities investment scheme sentenced to prison / Over many years sent phony account statements and accepted more money, even though he was not successfully investing (DOJ Release)FINRA Suspends Rep and Order Partial… [read post]
12 Oct 2018, 10:37 am
A recent FINRA arbitration asks us to consider what happens when a brokerage firm sorta twists a stockbroker's arm and suggests that, hey, maybe if a customer do... [read post]
2 Oct 2014, 4:21 am
As demonstrated in a recent FINRA arbitration brought against Wells Fargo Securities and Deutsche Bank Securities, those who feel that they were defrauded into such investments are still strapping on the gloves and climbing into the ring. [read post]
13 Mar 2015, 9:57 am
. (“FINRA”) filed a Complaint charging that, in July 2006, John M.E. [read post]
4 Apr 2015, 6:44 am
The overwhelming majority of SEC-registered broker-dealers must also be members of FINRA. [read post]
11 Mar 2015, 5:12 am
FINRA Fines Firm For Miscommunication Between Compliance And PayrollYa got a left hand. [read post]
8 Jun 2017, 1:39 pm
After the couple put their flawed plan into action, FINRA responded with a fine and suspension.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FIN... [read post]
10 May 2018, 4:26 am
I'm not happy with my REIT investment . . . damn thing is illiquid . . . get me out of that dog as soon as you can.Okay, so, put your FINRA regulatory thinking caps on. [read post]
4 Nov 2016, 6:01 am
As a recent FINRA saga shows, something as innocuous as a trade error can start the process that ends with our undoing.2011 ArbitrationIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Stat... [read post]
2 May 2016, 2:22 am
In celebration of this Sunday's Mother's Day, the BrokeAndBroker.com Blog presents a recent FINRA arbitration involving a maternal matter. [read post]
4 Jun 2014, 5:32 am
Kuchar submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
14 Mar 2014, 5:00 am
What's a bit puzzling is not so much what's in FINRA's published report about the respondent stockbroker and his misconduct but what the regulator left out. [read post]
9 Sep 2016, 7:37 am
FINRA's Private Securities Transaction Rule requires prior written notice, and that notice did not see... [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 … [read post]
23 Oct 2017, 4:18 am
FINRA has ... [read post]
26 Jun 2017, 3:53 am
In a recent FINRA expungement arbitration, a registered person challenged an 11-year-old customer complaint. [read post]
