An irreverent Wall Street Blog
by Bill Singer

EMPLOYMENT TUESDAY at BrokeAndBroker

January 31, 2012

Visit the BrokeAndBroker 

Post a job for $25
Job Widgets

Updated FINRA Cases of Note Now Online 
With Bill Singer's Analysis

FINRA cites a growing number of Annual Compliance Certification violations in 2011, and December saw an unusually large sample.

2011 saw numerous Promissory Note cases -- both those involving loans to stockbroker from their firms, and those involving the sale of such instruments by stockbrokers to their clients.

If you don't have sufficient funds to cover that check you wrote, it's going to come bouncing back as "NSF". Bet you didn't realize that this could become a FINRA regualtory matter. 

If you were involved in selling Private Placements in 2011, you may have exposed yourself to a whole lotta hurt for regulatory violations. You better familiarize yourself with FINRA's concerns.

Maybe the whole cold calling and customer service part of being a stockbroker just ain't your thing.  Maybe you have a hankering for the bright lights of entertainment -- you showed some talent for Impersonation of customers and colleagues but, alas, FINRA panned your performance.


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