US Attorney Preet Bharara racks up a major settlement with Deutsche Bank involving HUD fraud -- maybe SEC Enforcement Director Khuzami could learn some lessons (as in Citigroup)? Read Bill Singer's in-depth analysis and blistering commentary.
How good is your Seinfeld trivia? For starters, you remember Brody? See that storyline come to life in a criminal case.
Here we go again. Another VA case ends badly -- this time with punies.
UBS Stockbroker Seeks Expungement of ARS Claim That Firm Says Wasn't Made (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4641/finra-expungemen... Read On
In a recent FINRA arbitration expungement case involving UBS, we come across an example of nonsensical regulation. To give you a sense of how stupid s... Read On
Hero Takes a Fallby Aegis J. Frumento, Partner, Stern Tannenbaum & BellOne of the more interesting questions raised by our increasing reliance on ... Read On
In a recent FINRA customer arbitration, the public customer Claimants were looking for millions in damages as a result of alleged losses from their in... Read On
Two public customers complained about the conduct of their stockbroker. He denied the charges. A FINRA Arbitration Panel of three public arbitrators d... Read On
If a tree falls in the woods but no one hears it, does it make a sound? If a customer sends an order to buy mutual funds via email but the stockbroker... Read On