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 BrokerAndBroker Guest Blog Guest Blogger Street Sweeper Wells Fargo Bill SInger Jobs Aegis Frumento U5 OBA Fraud Promissory Note U4 Email Merrill Lynch Morgan Stanley EFL UBS Defamation Wire Fraud Elderly CRD Statutory Disqualification Forbes FBI Suitability PST InSecurities Ponzi ALJ Citigroup Whistleblower DOJ Rule 3270 Borrowing BrokerCheck BrokeAndBroker Supervision OHO NAC Form U4 IRS OIP Supreme Court Willful Outside Business Activity Bank Felony Ameriprise SDNY Expenses Wrongful Termination Securities Industry Commentator Wachovia Rule 2080 Pro Se IRA Rule 8210 Discretion Mail Fraud Insider Trading Wife WSP Dodd Frank CCO RIA NASD Rule 1122 Discovery Raymond James Husband Forgery Business Expenses Punitive Damages Form U5 Conversion Checks Rule 2010 JP Morgan Bankruptcy Trump Rule 3240 Willfulness Tax Employment Tuesday Settlement Estate Small Firm LPL Bar Madoff Frumento Stephen Kohn NYSE Rule 3040 Credit Card Wall Street Outside Business Activities Private Securities Transaction Annuities Edward Jones Commissions Margin 2Cir Facebook Indictment Corrective Action Statement Real Estate Rule 3280 Antitrust Tax Liens Insurance Bank of America Promissory Notes Power of Attorney Impersonation Exam Schwab Tax Lien Street Legal Mortgage SRO Injunction Spouse Test ETF ATM Beneficiary Misdemeanor TRO Annuity Rule 2510 Case In Point VA OTR Wire Offer of Settlement Trust Rule 12206 Options Remand Signature Complaint Schapiro ACQ POA Goldman Sachs Barclays CFTC NASDAQ Away Account Initial Decision Lien ARS Appeal Blockchain T&P Securities Fraud NSF FAA Trustee Crypto Stay Employee Forgivable Loan Spouses Sanctions email COVID Due Diligence Liens Loan Deutsche Bank DCCir Customer Eligibility Rule PCAOB Jurisdiction Money Laundering Conspiracy RBC HFT Motion to Dismiss NASAA Retaliation Unauthorized Discretion Signatures Bonus Rule 4530 Fidelity Board Chase Burris Cease And Desist Compliance E*Trade Failure to Supervise Flash Crash Rule 4511 OWB Mandatory Arbitration Dissent Reg SP Great Recession Credit Cards Broker Protocol Solicitation Rule 3010 Undisclosed Settlement 9Cir Continuing Education Scottrade Rule 12200 Discrimination arbitration Unsuitability LOA Severance Explained Decision Willfully Huffington Post Fiduciary Hacking Vacatur Customer Complaint JPMorgan Bharara Disgorgement Cryptocurrency Registered Rep Magazine Deceased Gallagher Motion to Vacate RRBDLAW.com Divorce Unauthorized Trading Hacker Unfair Competition Identity Theft MSSB Disclosure Malware Lehman Brothers Variable Annuity brokeandbroker Rule 3050 Wey TD Ameritrade Stifel 10Cir Examination Letter of Authorization Lucia Reimbursement Website Coronavirus Wedbush Class Action Forex REIT Apple FINRA Arbitration Stockbrokers Audit Spoofing Sexist Sexism employment Retirement Variable Annuities Personal Expenses Bitcoin Manifest Disregard Annual Compliance Questionnaire Commission Brummer FINOP Second Circuit 2nd Circuit Away Accounts Net Capital LIBOR Zipper jobs BOP Due Process Loans Prison Social Media Confidential Information BrokeAndBroker Bill Singer Statute of Limitations Self Regulation Lehman Elder Abuse Registration Solicited Internet RMBS MC-400 Will Postponement Rule 12805 Judgments BrokeandBroker Trading Platform Imposter Board of Governors Hilton Weiner Private Placement Rule 2150 WSPs Unjust Enrichment Bonds IC3 Unsolicited Rule 3110 Charles Schwab Sanction Guidelines AML Bureau of Prisons Kokesh RRBDlaw.com Hedge Fund Emails Dakota Securities Telephone Fees Plea Debit Card Time And Price BrokeAndBroker.com Blog CRS bill singer PNC Cheating Newman Marijuana expungement ADA MetLife Indemnification Rule 2111 Arbitraiton Morgan Keegan FOREX Private Securities Transactions Waiver China CPA Charge CE Public Interest Auction Rate Securities Widow Reg S-P Check Kiting Rule 9552 DOL Protocol Mutual Funds Stifel Nicolaus Small Firm Governor OSHA IPO Botkin Rakoff Confirm Motion to Confirm Suspension 3Cir Knight Piwowar Testimony Counterclaim Credit Suisse Puerto Rico NYAG Bear Stearns FNMA BD Lawyer SDFL Employment Agreement Diversity Regulation SP Compensation TOD Concentration FINRA Board JOBS Act Joshua Brown CNBC Crowdfunding IAR Obstruction of Justice Margin Call Shah Gilani Check Bandimere Standing Whistleblowing Feigenbaum Exhaustion of Administrative Remedies Conflict Statutory Disqualification Committee Membership Continuance Customer Information Tortious Interference TheBlot Gold Reg D Day Trading Bloomberg Affinity Fraud Pennystock Confidential Immunity 4Cir Biden MF Global SAC Article V Embezzlement Hurry Wire Transfer Churning Pennystocks Non Solicitation Rule 2081 Broke And Broker Circuit Court Raiding High Frequency Trading Termination Rule 12504 Cannabis Banc of America Mother OIG EIA Morgan Stanely VIX Medicare Restaurant Rule 4513 Executor USERRA Charity Taxes Series 7 Oppenheimer TSSB Affiliate Passcode Appointments Clause Testing CEO Stanford Ketchum PN Dementia Sales Assistant Elder Fraud Rosenthal Recruiting Unsuitable Rule 13200 Khuzami Inability to Pay ING Rule 13805 Phishing Wine Woody Allen Rule 12904 Aleynikov Bank Fraud Morgan Stanley Smith Barney Unauthorized Practice of Law McDuff Marketplace Non-Solicitation Deferred Compensation NPR Negligence ICO Funds Corzine Bid Rigging Nietzsche HSBC Whitman AAA Accounting Outside Account Statement of Corrective Action Disability Finder\'s Fee Moon Parking Ethereum Motion to Compel Government Accountability Project Yesenia Guitron Guitron Consent Order Johnny Burris Private Placements Leveraged ETF 6th Circuit EDNY Eligibility Sexual Harassment Teleconference Unregistered FINRA AWC Rule 12212 6Cir Aguilar Probate Rule 2210 JPM PAQ Vault Joint Account Commodities Fraud Trade Secrets SunTrust Racism 9/11 Kon Attorneys Fees Amazon Research TCR Corruption WB-APP Talman Harris IM BrokeAndBroke Subpoena David Sobel Hearing Information Wanger Constitution White Self Regulatory Organization OCIE ACH Side Bar Argentina Failure To Supervise Rule 3030 Libel Penson Slander Form ADV Chief Compliance Officer Obstruction Mutual Fund Sharemaster Vietnam Medical Condition Marine Corps securities industry commentator Smith Barney Linde Murphy Marines Star Wars Test Center Hugh Hewitt Layering Lawyers Lincoln Financial 401k Administrative Remedies Written Supervisory Procedures Poteroba Online Honorarium Laptop Ride the Thunder Federal Reserve Casino SIFMA fraud Confirmation S&P Whistleblowers Trading Rule 21F Jennifer Tarr Scholander Turnover RR Chiasson 401(k) Settling Away Fines Schneiderman Meals TIC LLC Life Insurance Money Market Preliminary Injunction Enforcement Obama Control Person Commissioner Stein Capital Gains 11th Circuit Selling Away Reform Elder Law ESOP Fifth Amendment Hospital CDO Series 79 Hester Peirce Motion BrokeAndbroker Data Absolute Immunity CD Saad SP Timban Rory Flynn 17a-5 NoCA FCPA Annual Audit Taft Correctional Institution Chevron Fiduciary Duty Resignation Reverse Life Insurance Christian Stanley Stipulated Award 11Cir Non Solicit Regulation FCI Rule 2370 RRBDlaw First Amendment FCI Beaumont Fee Outside Accounts Arrest Sexual Discrimination Self Directed Trader Red Flags 40 Act BrokerAndBroker.com Do Not Call Privilege NYG Capital Permanent Bar AXA WaMu Chase Investment Services Google Escrow Backstage Wall Street Electronic Communications Over Concentration Elles Rule 9216 Investment Adviser OWWP Expert Witness Stockbroker Excessive Trading Rule 1031 PIABA Password Relevant Disciplinary History David Lerner Inmate FOCUS Fowler Counterfeit Congress Puts Department of Justice Judgment Robinhood Reuters Client Information Blank Forms RICO Arbitration SD Rationale Rule 9554 FMLA Relevant Stop Loss Crime 1Cir Sarbanes Oxley Johnson YouTube Service Beneficiaries Dell Fine FINRA Small Firm Netschi Respondeat Superior Investor Alert Cold Spring Advisory Group Commodities Disciplinary History Third Party Vendor VXX Female signature Robert Cook BATS Withdrawals money laundering Texting Florida CGMI Equity Indexed Annuities Prudential Attorneys\' Fees Pruco Thain Inside Information Kiting Death Scottsdale Newport Coast Securities Oral Discretion Tax Fraud Copyright Moore Robert Muh Verbal Discretion Guest Bloggers Regulation S-P NDCA Guardian Flash Drive Harris Wells Fargo Advisors Gifts Dissident Pension Prime Bank Reverse Merger Superior Court Subway Fourth Amendment Liquidation Securities and Exchange Commission Production Scam Allstate Income Rule 3210 Son Court of Appeal Transfer Daspin Public Arbitrator 10b-10 Hackers Undercover Father Salman Orders Reason for Termination Gabelli Series 66 Disparate Treatment wire fraud Led Zeppelin Cherry Picking Lee Women Traders Koval mail fraud Capitalism 5Cir Coin Mattera Retired Woman With Cane 10b-5 EB-5 Merrill Anderson Stephen A. Kohn Romer Molchatsky Theft Naskovets Texas State Securities Board Rule 12511 House Financial Services Broy Oilpro Customer Files Books and Records Kent Penalty Conflict of Interest Falsification Harassment QuadrigaCX Initials Compliance Questionnaire Rule 2330 Kennedy false statements NY Life Tennis Court Wires Wire Transfers Janney Montgomery Scott iPhone Compromise Short Sale NFA Clayton Covid-19 Section 206 Title VII Nasdaq Apartment Financial Disclosure Examinations Dinner Voya Supervisor Martoma Brokeandbroker.com Binary Options Bank Guarantee SEC Rules of Practice Advisor Placement Group Khan ALJ Grimes PSRO Sharing Agreement Restitution Stock Promotion Margin Calls Proctor Laser Martin Cryptocurrencies Bob Dylan RRBDLAW Preet Bharara UIT Credit Repair Trainee Fee Dostoevsky IBM Pacifico God Outside Counsel Mistake In House Counsel Summary Judgment Subject Matter Jurisdiction Non-Prosecution Agreement Ethics Checking Rules of Practice DWI Walter Dow Customers Kierkegaard Diabetes Spam ADR Schumer bank 9th Circuit ADEA Age Discrimination Fiero Last Known Address Extraordinary Circumstances Books And Records Compliance Officer Fraudulent Inducement Mary Jo White Rule 2430 Patriot Act Obamacare Kenneth Starr Boyland MDLA Powell Spoliation Exhaustion Doctrine Chase Bank Merill Lynch Well Managed Portfolio Mantar Payroll Travel HBO Preliminary Determination Vacate Willfull Wang GAP Goble Eric Stein State Actor Reasonable Rule 3310 Rule 420 Silver Twitter Racial Discrimination Exotic ETF Irreparable Harm Finra Investacorp Solomon Galleon AIG Non Compete Ten Commandments SIPC Undertaking Default Hertz Quasi Governmental State Farm Branch Manager FDA MBS Liu Elon Musk BBVA Jon Corzine Sears Cybercrime Gnomes Bezos South Park ALJ Foelak Lewis Carroll Lexicon Tipper Bribe Tippee Bill Singer BrokeAndBroker William Faulkner AWC. FINRA Merger 1099 Executrix Altered Records Confidential Customer Information Currency Work Product Leveraged ETFs Confidentiality Nationwide Motion To Dismiss Collateral Disney Sex Witness Tampering Lek National Securities Criminal Excel Varney EDPA BIll Singer JPMorgan Chase NYLIFE BrokeandBroker.com Mary Schapiro Evidence Deferred Prosecution Agreement DPA Puerto Rico Bonds Deceased Customer Game of Thrones Conflicts Berthel Fisher Statute of Limitation Practice Sale Dylan CMO Election US Airways Cellphone wrongful termination Turbeville Wages Expense Newbridge Promoter NML BitTorrent DNJ Diamonds 8210 Sterne Agee Countrywide MSPB Banks Murray Risk NRSRO Municipal Advisor Legend Bartko Civil Rights ETFs Self Reporting Life Settlement Costa Rica Collateral Bar Rule 12104 Skimming EEOC Arbitrator FNI Media Retroactive Retroactive Bar Breach of Contract FTC Baby Boomers Grievance Personal Information Rule 13504 Principal Bill singer Constructive Discharge Impersonator Exception Reports CAT McCartney Malice Springsteen Tran CMA Res Judicata PHC Unauthorized Trades Office of Special Counsel Stipulation Municipal Bonds Microcap Offset