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3 Apr 2023, 4:20 am
Securities Industry Commentator:A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6972/securities-industry-commentator/ In 2023 FINRA Settles With Goldman Sachs Over Mismarked Short Sales Dating Back to 2015 (BrokeAndBroker.com Blog) FINRA Arbitration Award Gives Us A Case of Gas From Chipotle Bean Burrito Puts (BrokeAndBroker.com Blog) Steven Schwartz, Plaintiff, v. [read post]
3 Apr 2023, 4:20 am
FINRA Arbitration Award Gives Us A Case of Gas From Chipotle Bean Burrito Puts (BrokeAndBroker.com Blog) Steven Schwartz, Plaintiff, v. [read post]
Laura’s panel includes a former Chairman of the FTC; an attorney representing the Petitioner in Axon v. [read post]
20 Mar 2023, 3:55 am
JOIN TODAY -- FREE MEMBERSHIP (BrokeAndBroker.com Blog)   MIGUEL LUNA PEREZ, PETITIONER v. [read post]
20 Mar 2023, 3:55 am
JOIN TODAY -- FREE MEMBERSHIP (BrokeAndBroker.com Blog)   MIGUEL LUNA PEREZ, PETITIONER v. [read post]
20 Mar 2023, 3:55 am
So, it was a rare treat for Aegis to read the 72-page opinion issued in by Delaware Vice Chancellor Zurn in Ainsley v. [read post]
19 Mar 2023, 5:01 am by Eugene Volokh
") The singer is Manizha, who is Tajik, but the lyrics are by Anna German, who was an Uzbekistan-born Pole. [read post]
17 Mar 2023, 2:48 pm by Scott Hervey and Josh H. Escovedo
Singer Rick Astley is suing rapper Yung Gravy for vocal imitation in his smash hit, Betty (Get Money). [read post]
6 Mar 2023, 3:30 am
Blackbook Capital Versus FINRA: A Decade of Battle (BrokeAndBroker.com Blog)   JOIN the Financial Professionals Coalition, Ltd         DOJ RELEASES   SEC RELEASES   CFTC RELEASES   FINRA RELEASES   FINRA Arbitration Panel Dismisses Something Involving Something Against Wells Fargo by Prominent Whistleblower AnalystIn the Matter of the Arbitration Between David William Maris, Claimant, v. [read post]
27 Feb 2023, 3:10 am
Welcome to the BrokeAndBroker.com Blog and the Securities Industry Commentator Feed (BrokeAndBroker.com Blog)   Federal Court Deems FINRA Absolutely Immune in Expungement Lawsuit (BrokeAndBroker.com Blog)   4Cir Remands SEC's Case To District Court For Some Old Fashioned Jury Muddling (BrokeAndBroker.com Blog)   JOIN the Financial Professionals Coalition, Ltd   BREAKING NEWS: Supreme Court  Pegs The Bank Secrecy Act's $10,000 maximum penalty for the… [read post]
21 Feb 2023, 3:12 am
Offers Historic Clearinghouse of Resources / Industry’s Disenfranchised Men and Women Now Have Solutions (Financial Professionals Coalition Press Release)   New Coalition Focuses on Industry’s Individuals / The Financial Professional Coalition will cater to the "rank-and file" of the industry by offering specific, non-legal assistance for reps and support staff (WealthManagement.com by Patrick Donachie) Industry vets form organization to stand up for individual… [read post]
21 Feb 2023, 3:12 am
Offers Historic Clearinghouse of Resources / Industry’s Disenfranchised Men and Women Now Have Solutions (Financial Professionals Coalition Press Release)   New Coalition Focuses on Industry’s Individuals / The Financial Professional Coalition will cater to the "rank-and file" of the industry by offering specific, non-legal assistance for reps and support staff (WealthManagement.com by Patrick Donachie) Industry vets form organization to stand up for individual… [read post]
21 Feb 2023, 3:12 am
Offers Historic Clearinghouse of Resources / Industry’s Disenfranchised Men and Women Now Have Solutions (Financial Professionals Coalition Press Release) Industry vets form organization to stand up for individual advisors (Financial Planning by Dan Shaw) United States Supreme Court Precludes Bankruptcy Discharge of Debt Obtained By Fraud Regardless of Petitioner's CulpabilityKate Marie Bartenwerfer, Petitioner, v. [read post]
6 Feb 2023, 3:08 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6876/securities-industry-commentator/ Lira v. [read post]