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17 Sep 2022, 9:15 am
Wells Fargo Wins FINRA Arbitration Against Former Rep With Three On And Off Lawyers (BrokeAndBroker.com Blog)SEC Buries the Lede About Stunning Misconduct in Its Office of the Ombudsman (BrokeAndBroker.com Blog)Former U.S. [read post]
17 Sep 2022, 9:15 am
SEC Buries the Lede About Stunning Misconduct in Its Office of the Ombudsman (BrokeAndBroker.com Blog)Area man who claimed to be African prince convicted by jury of several fraud crimes (DOJ Release)Morgan Stanley Smith Barney to Pay $35 Million for Extensive Failures to Safeguard Personal Information of Millions of Customers (SEC Release)Sparkster to Pay $35 Million to Harmed Investor Fund for Unregistered Crypto Asset Offering / Crypto Asset Promoter Ian Balina Charged for Touting Tokens Without… [read post]
17 Sep 2022, 9:15 am
GUEST BLOG: A Personal Message From Granville A. [read post]
17 Sep 2022, 9:15 am
Cuyahoga Gone in Appellate Ruling To Send Dispute to FINRA Arbitration (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6662/cedar-brooks-schlang-finra/The parties entered into a 2016 Redemption Agreement whereby Bradley Schlang was bought out of the company pursuant to 10 years of quarterly payments. [read post]
17 Sep 2022, 8:19 am
"....American writer/poet/singer Jim Carroll is reputed to be the voice heard asking Brigid Polk about the availability of Tuinals between songs on The Velvet Underground's Live at Max's Kansas City album....In the 2011 movie My Week With Marilyn, during a scene in Marilyn Monroe's bedroom, a bottle of Tuinal (misspelled "Tunial") can be seen on the bedside table, in reference to her dependency on barbiturates. [read post]
13 Sep 2022, 4:04 pm
She was 91 years old.John was a blues singer who came to prominence in the 1960s. [read post]
12 Sep 2022, 4:45 am
BrokeAndBroker.com Hit With Second 2022 DMCA Takedown Notice After Prevailing in Same Dispute in 2020 (BrokeAndBroker.com Blog)Florissant Bank Manager Accused of Defrauding Elderly Customers (DOJ Release)New Haven Man Admits Stealing More Than $160K from Retired Woman's Bank Account (DOJ Release)SEC Charges Infrastructure Company Granite Construction and Former Executive with Financial Reporting Fraud (SEC Release)Federal Court Denies JPMorgan TRO Against Former Employee But Grants Expedited… [read post]
12 Sep 2022, 4:45 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6659/securities-industry-commentator/BrokeAndBroker.com Hit With Second 2022 DMCA Takedown Notice After Prevailing in Same Dispute in 2020 (BrokeAndBroker.com Blog)Former SEC Ombudsman Misled Congress, Lied to IG, Probe Alleges (Bloomberg by John Holland)Court orders 'biblically based' RIA and execs to pay $2m over 12b-1 fees (Citywire… [read post]
12 Sep 2022, 4:45 am
Stone Cold Day of Reckoning for FINRA and Self Regulation (BrokeAndBroker.com Blog)Remarks at the "SEC Speaks" Conference 2022 by SEC Commissioner Mark T. [read post]
12 Sep 2022, 4:45 am
The Deceased Customer, His Estate, The Merrill Lynch Employee, The Trusts, The Annuity, the Expert, and the Lawsuit (BrokeAndBroker.com Blog)xBanker Pleads Guilty to Bank Secrecy Act Charges (DOJ Release)UPDATED: Stone Cold Day of Reckoning for FINRA and Self Regulation (BrokeAndBroker.com Blog)STANDING RESPONSE TO DMCA TAKEDOWN NOTICES PERTAINING TO COVERAGE OF In the Matter of the Arbitration Between Jay Lombard, Claimant vs. [read post]
12 Sep 2022, 4:45 am
Federal Court Denies JPMorgan TRO Against Former Employee But Grants Expedited Discovery (BrokeAndBroker.com Blog)SEC Sues Chicago-Area Unregistered Crypto Assets Broker, Its Owner, and Two Salespeople with Fraud and with Conducting an Unregistered Offering (SEC Release)The Deceased Customer, His Estate, The Merrill Lynch Employee, The Trusts, The Annuity, the Expert, and the Lawsuit (BrokeAndBroker.com Blog)Banker Pleads Guilty to Bank Secrecy Act Charges (DOJ Release)SEC Charges Loop Capital… [read post]
12 Sep 2022, 4:45 am
UPDATED: Stone Cold Day of Reckoning for FINRA and Self Regulation (BrokeAndBroker.com Blog)STANDING RESPONSE TO DMCA TAKEDOWN NOTICES PERTAINING TO COVERAGE OF In the Matter of the Arbitration Between Jay Lombard, Claimant vs. [read post]
9 Sep 2022, 6:41 am
Even under the doctrine of continuous representation, and giving plaintiff the benefit of every possible inference, the relationship between the parties ended, and the limitations period began to run, on August 23, 2016 (see Marzario, 178 AD3d at 528; Riley v Segan, Nemerov & Singer, P.C., 82 AD3d 572, 572-573 [1st Dept 2011]). [read post]
7 Sep 2022, 2:01 pm
Britney Spears’ Ongoing Legal Matters In recent years, there has been no shortage of news coverage about pop singer Britney Spears and her ongoing legal matters. [read post]
6 Sep 2022, 8:55 am
Mulvaney (Texas A&M University School of Law) & Joseph William Singer (Harvard Law School) have posted Essential Property (Minnesota Law Review, Forthcoming) on SSRN. [read post]
6 Sep 2022, 6:30 am
” He added that although his mother is a singing teacher and one of his sisters is an opera singer, he really doesn’t know much about classical music and had to “swot up” in the library. [read post]
6 Sep 2022, 5:13 am
The Solicitor General (SG) Elizabeth Prelogar did, however, file an amicus brief asserting that the Foundation's commercial licensing of a colorful Warhol print of the singer Prince for the cover of a special issue of a Conde Nast magazine was not a fair use of Lynn Goldsmith's copyrighted photograph of the singer. [read post]
6 Sep 2022, 4:06 am
GUEST BLOG: [In]Securities: Trading Cards as a Meditation: Are NFTs "Securities"? [read post]
6 Sep 2022, 4:06 am
A Lack of Finality: The Trevor Saliba Saga at FINRA and the SEC (BrokeAndBroker.com Blog)Former Stockbroker Sentenced to 6 1/2 Years in Prison for $3.2 Million Investment Fraud, Cheating on Taxes and Grandparent Scam (DOJ Release)SEC Charges Perceptive Advisors for Failing to Disclose SPAC-Related Conflicts of Interest (SEC Release)SEC Denies Whistleblower Award to Claimant Citing "Potential or Theoretical Use"Order Determining Whistleblower Award Claims CFTC Charges Swap Dealer for… [read post]
6 Sep 2022, 4:06 am
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)SEC Charges Former Vice President of Medical Device Company with Insider Trading (SEC Release)Aspiration Financial Loses Oddball Pro Se Customer FINRA ArbitrationIn the Matter of the Arbitration Between Aspiration Financial LLC, Claimant, v. [read post]
