An irreverent Wall Street Blog
by Bill Singer

BREAKING NEWS: FINRA Loses Historic Appeal. Right to Collect Fines Curtailed

October 5, 2011

HISTORIC FEDERAL COURT DECISION

FINRA CANNOT COLLECT DISCIPLINARY FINES


UPDATE 2013


NEW EPISODE OF 
SIDE BAR WITH BILL SINGER 
NOW ONLINE
Martin Kaplan, Esq. Talks About FINRA

REUTERS.COM


YouTube for iPhone/Pad Users


Permalink

Search BrokeAndBroker

Related Topics

Previous Entries

Tag Cloud

Bill Singer BrokeAndBroker FINRA Arbitration AWC SEC BrokeAndBroker.com Expungement Employment Street Sweeper Bill SInger Jobs Wells Fargo Fraud U5 OBA Promissory Note Guest Blog U4 Email Guest Blogger BrokerAndBroker Aegis Frumento Merrill Lynch EFL Morgan Stanley Wire Fraud UBS Elderly CRD Defamation Forbes FBI Suitability Statutory Disqualification PST Ponzi ALJ Citigroup Whistleblower Borrowing Rule 3270 DOJ Supervision BrokerCheck Bank Outside Business Activity IRS OIP BrokeAndBroker Willful Form U4 Felony SDNY NAC Wrongful Termination Expenses Ameriprise OHO Pro Se Wachovia Supreme Court IRA Rule 2080 Mail Fraud Wife Insider Trading WSP Husband Discretion Rule 8210 Forgery CCO Checks Dodd Frank Conversion RIA Rule 1122 Employment Tuesday Form U5 Business Expenses Settlement Bankruptcy Raymond James Tax Punitive Damages Discovery NASD Madoff Rule 3240 InSecurities Estate Rule 3040 Willfulness Rule 2010 Frumento JP Morgan Private Securities Transaction Credit Card Wall Street Small Firm NYSE LPL Outside Business Activities Indictment Bar 2Cir Real Estate Power of Attorney Commissions Annuities Exam Facebook Edward Jones Promissory Notes Impersonation Rule 3280 Bank of America Tax Lien Tax Liens ETF Spouse Securities Industry Commentator Margin Street Legal Corrective Action Statement ATM SRO Mortgage Beneficiary Wire Trust Stephen Kohn Injunction Schwab Test Case In Point Offer of Settlement Complaint Antitrust Rule 2510 Options ARS Rule 12206 Appeal Signature Schapiro Away Account Trump CFTC Insurance Annuity Spouses POA Initial Decision T&P VA NSF Due Diligence Loan Employee Forgivable Loan Misdemeanor Goldman Sachs Barclays Trustee Securities Fraud Conspiracy Deutsche Bank Unauthorized Discretion Signatures Lien OTR HFT Remand NASAA Liens RBC Blockchain Crypto PCAOB DCCir Bonus Flash Crash Eligibility Rule Money Laundering Great Recession Chase Fidelity NASDAQ Mandatory Arbitration Cease And Desist Sanctions Rule 4530 email TRO Rule 3010 LOA Credit Cards E*Trade Continuing Education Burris Undisclosed Settlement Compliance Huffington Post Failure to Supervise Dissent Rule 4511 Stay Willfully Lehman Brothers Unfair Competition Fiduciary Solicitation Customer ACQ Broker Protocol Hacker Hacking Unsuitability OWB Identity Theft Disclosure Bharara Rule 3050 Variable Annuity Cryptocurrency Gallagher Scottrade Deceased MSSB RRBDLAW.com Registered Rep Magazine Divorce arbitration Jurisdiction Wedbush Forex Audit Board brokeandbroker Spoofing Retirement Malware Website Sexist Bitcoin Annual Compliance Questionnaire Reimbursement Unauthorized Trading Letter of Authorization Reg SP Apple FINRA Arbitration Stockbrokers employment JPMorgan Explained Decision Motion to Dismiss Discrimination Second Circuit 2nd Circuit Prison Lehman Solicited Internet Away Accounts Vacatur Will Rule 12805 RMBS Registration BrokeAndBroker Bill Singer Rule 12200 jobs Net Capital FINOP Retaliation Social Media LIBOR Lucia Disgorgement Sexism Variable Annuities Self Regulation Severance Wey Elder Abuse Customer Complaint Personal Expenses Plea Zipper Waiver Loans Private Securities Transactions Newman Arbitraiton Commission Time And Price Telephone Examination Marijuana BrokeandBroker Confidential Information Judgments Stifel REIT 9Cir RRBDlaw.com Hilton Weiner BOP China 10Cir Indemnification Hedge Fund Charles Schwab Motion to Vacate IC3 Bonds Postponement Private Placement BrokeAndBroker.com Blog Trading Platform FOREX Unsolicited MetLife Imposter Bureau of Prisons Brummer IPO Rule 2150 Rule 2111 MC-400 ADA Auction Rate Securities JOBS Act Joshua Brown FAA CE Obstruction of Justice Morgan Keegan Check Kiting CNBC bill singer Rakoff WSPs TD Ameritrade Mutual Funds Knight Testimony FNMA Crowdfunding Cheating Debit Card Stifel Nicolaus Sanction Guidelines Compensation PNC Botkin Suspension Piwowar Protocol OSHA Widow DOL Coronavirus Fees Statute of Limitations Emails NYAG Lawyer Unjust Enrichment Dakota Securities Rule 3110 CPA Bandimere Rule 13200 Elder Fraud Raiding EIA Ketchum Sales Assistant Charge Rule 9552 PN Rule 12504 Article V Oppenheimer SAC High Frequency Trading Wine Rule 13805 Pennystock Gold Bloomberg Affiliate Employment Agreement Confidential Customer Information Woody Allen CEO Credit Suisse Wire Transfer Banc of America Cannabis Manifest Disregard TOD Conflict Inability to Pay Board of Governors Class Action Regulation SP Reg D Appointments Clause Stanford CRS Unsuitable Affinity Fraud Series 7 MF Global Confirm Rule 2081 Executor Rosenthal Recruiting USERRA Check Shah Gilani Bear Stearns Khuzami Churning Passcode Restaurant Morgan Stanely Reg S-P Puerto Rico Public Interest Aleynikov Due Process Medicare AML Phishing Counterclaim Whistleblowing OIG ING Non Solicitation Embezzlement Dementia TSSB Hurry Linde Murphy McDuff Moon Side Bar Bank Fraud Self Regulatory Organization Rule 2210 Corruption Online Government Accountability Project PAQ Yesenia Guitron Subpoena White Unauthorized Practice of Law TCR Membership Continuance Vault Probate Whitman ACH Feigenbaum Margin Call Eligibility Statutory Disqualification Committee Ride the Thunder ICO Vietnam Leveraged ETF Bid Rigging Rule 4513 Charity Smith Barney Marine Corps Standing Commodities Fraud Johnny Burris Marines Kokesh Teleconference SunTrust 6th Circuit Guitron Failure To Supervise Morgan Stanley Smith Barney Layering Marketplace Termination Unregistered Funds Obstruction Finder\'s Fee Kon Nietzsche Medical Condition Parking 401k IM Corzine Broke And Broker David Sobel Rule 3030 Hearing expungement Private Placements Form ADV HSBC Accounting Mutual Fund Deferred Compensation Poteroba Information Day Trading Disability Casino Star Wars NPR Small Firm Governor Testing Joint Account Federal Reserve Trade Secrets Consent Order Chief Compliance Officer Statement of Corrective Action Aguilar Written Supervisory Procedures Outside Account Laptop Pennystocks Tortious Interference Mother Penson Circuit Court Motion to Confirm Concentration Slander WB-APP Hospital Settling Away Elder Law BrokerAndBroker.com FINRA AWC Rule 1031 BrokeAndbroker Tax Fraud Respondeat Superior Resignation signature Meals Outside Accounts Equity Indexed Annuities Over Concentration SP TheBlot Fiduciary Duty Death Inside Information WaMu BD Scholander Control Person CDO Rule 2370 Dell Thain Fifth Amendment Stipulated Award Motion Christian Stanley Reverse Life Insurance Taft Correctional Institution Research Libel AXA David Lerner Stockbroker CD Wanger Excessive Trading Fowler First Amendment Chiasson RRBDlaw Schneiderman Backstage Wall Street Sexual Harassment Negligence Verbal Discretion Oral Discretion OWWP RICO 11th Circuit Withdrawals Test Center Investment Adviser YouTube Timban Trading Fine Robert Muh 401(k) Commissioner Stein Hester Peirce Rule 12904 1Cir Client Information 11Cir Puts EDNY 4Cir Regulation Red Flags FCI Beaumont FCI JPM Scottsdale Robert Cook Do Not Call Administrative Remedies Guest Bloggers FOCUS IAR Sexual Discrimination Constitution Attorneys Fees Department of Justice ESOP PIABA Female Sharemaster SIFMA Electronic Communications Investor Alert Moore Rule 21F Judgment Netschi Stop Loss VXX BATS Amazon Argentina Inmate Cold Spring Advisory Group Lincoln Financial Third Party Vendor Kiting Chase Investment Services Rule 12212 Arrest Jennifer Tarr Selling Away Turnover Commodities Non-Solicitation 9/11 Counterfeit Rory Flynn Florida Texting Money Market Google VIX Talman Harris Attorneys\' Fees Arbitration OCIE Privilege Escrow Data Fines TIC BrokeAndBroke Ethereum 40 Act Password Rule 9216 Elles Congress Sarbanes Oxley CGMI Fiero Pruco GAP Scam Summary Judgment Blank Forms Reverse Merger Springsteen Capital Gains Life Settlement Disparate Treatment Berthel Fisher Women LLC Exhaustion Doctrine Undercover Expense Exception Reports Reuters Guardian Kennedy Elon Musk Non Solicit Life Insurance Undertaking Johnson Oilpro Laser Newbridge Practice Sale Initials Taxes Molchatsky Flash Drive Series 79 Section 206 Mattera Trader DWI Cellphone Beneficiaries 6Cir McCartney 8210 Cherry Picking Customer Files Trainee Fee QuadrigaCX Wages Kent US Airways FDA Romer Lek Proctor Janney Montgomery Scott Credit Repair UIT Merger Lee Bill Singer BrokeAndBroker BitTorrent Martoma Martin Promoter Copyright Theft Confidential Customer Information Bank Guarantee Evidence Grievance Regulation S-P SEC Rules of Practice Impersonator Goble Merrill Unauthorized Trades Clayton BIll Singer Turbeville Conflicts FCPA Prime Bank Nasdaq Bill singer Anderson MBS Father Advisor Placement Group FINRA Board Subway State Farm Production National Securities Cryptocurrencies Bezos Gabelli Office of Special Counsel Branch Manager Diamonds Fourth Amendment Preet Bharara NML Eric Stein Series 66 Non-Prosecution Agreement Restitution Obamacare Well Managed Portfolio Jon Corzine ADR Checking MSPB Willfull Sears Silver Game of Thrones NoCA Compliance Officer Lexicon Service BBVA Mary Jo White Capitalism Merill Lynch S&P SD Covid-19 God Motion To Dismiss Texas State Securities Board Currency Pacifico Compromise Retroactive Fee Countrywide Confirmation Retroactive Bar Collateral Bar Books And Records Tran NYG Capital SDFL Ethics Baby Boomers Arbitrator FNI Media EDPA Municipal Advisor NRSRO Liquidation Age Discrimination ADEA Customers Salman Skimming Naskovets Whistleblowers FMLA Self Reporting Bartko Payroll Chase Bank Koval Rules of Practice Lawyers Prudential Work Product Leveraged ETFs Collateral William Faulkner Bribe Deferred Prosecution Agreement Excel Self Directed Financial Disclosure ALJ Grimes Walter Schumer Dow Spam Diabetes DPA Chevron Relevant Microcap PHC 1099 Risk Banks SIPC AIG 17a-5 Annual Audit Finra Hertz In House Counsel Outside Counsel Cybercrime Kenneth Starr Enforcement IBM Criminal Constructive Discharge Brokeandbroker.com Books and Records NFA Mary Schapiro BrokeandBroker.com Powell Reform Bob Dylan Rule 2330 Fraudulent Inducement Compliance Questionnaire false statements Falsification Rule 3210 Broy 3Cir AAA Offset Motion to Compel House Financial Services Orders RRBDLAW Sharing Agreement Retired Woman With Cane Tennis Court Daspin Permanent Bar Expert Witness Immunity Rule 3310 Reasonable Tippee Statute of Limitation Solomon State Actor Quasi Governmental Tipper Securities and Exchange Commission Murray Crime Rule 9554 Lewis Carroll Altered Records Executrix Newport Coast Securities Rule 420 Municipal Bonds Galleon JPMorgan Chase Witness Tampering Sterne Agee Nationwide Reason for Termination Sex Mistake Exotic ETF Kierkegaard 9th Circuit NY Life Spoliation CMO Travel Election Binary Options Stephen A. Kohn Disciplinary History FINRA Small Firm Hugh Hewitt Wells Fargo Advisors Transfer iPhone Supervisor Boyland Coin Apartment FTC AWC. FINRA Costa Rica Dinner 10b-5 Gifts Wire Transfers Varney Pension Wires Saad Short Sale Irreparable Harm Personal Information Stock Promotion Honorarium