An irreverent Wall Street Blog
by Bill Singer
by Bill Singer
Two Oddball Wall Street Regulatory Cases
Written: October 12, 2012
SEC Inspector Javert Earns
$1.8 Million Interest
On $78,000 Judgment
Seriously, with a headline like that, how can you resist? A truly amazing regulatory tale.
Fanatical SciFi Army Beams Financial Firm Into Black Hole
And if you're in the mood for another oddball story, you can't pass this one up either.
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Previous Entries
May 16, 2013
The $2.6 Million Question In Goldman Sachs Suitability ArbitrationFINRA arbitration Decisions tend to be unanimous, but, with increasing frequenc... Read On
May 16, 2013
FINRA arbitration Decisions tend to be unanimous, but, with increasing frequency, we are seeing decisions by two of three arbitrators -- and ther... Read On
May 16, 2013
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in November 2011, Claimant Process Engineering Services as... Read On
May 16, 2013
Time and time again I have admonished registered persons about the dangers of using the old blank form short-cut. And, time and time again, I report a... Read On
May 15, 2013
In recent years, more individuals have been disqualified from service as an officer or director of a public customer based upon judicial findings of "... Read On
May 14, 2013
I dunno what it is with some folks but once you roll out the words "international" and "bank" and talk in hush tones about a prime bank note or a trad... Read On
May 14, 2013
Starting as early as May 2008 and continuing through February 2009, Christopher Rad, Cedar Park, TX, James Bragg, Chandler, AZ, Doyle Scott Elliott, J... Read On
May 14, 2013
In any profession, the good ones always seem to go the extra mile. Sometimes, however, those long distance runners may turn out to be Rosie Ruiz. &nbs... Read On
May 13, 2013
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in September 2011 and amended thereafter, Claimant Teevan ... Read On
May 13, 2013
Another insider trading case goes to the jury and another defendant is now headed off to pay his debt to society. Veteran Wall Street regulatory... Read On
May 13, 2013
Although a trifecta in horse racing is a wonderful thing to win, when dealing with Wall Street regulators, stockbrokers ought not be betting their car... Read On
May 13, 2013
With troubling frequency, BrokeAndBroker.com has been reporting about regulatory problems bedeviling securities firms with bank affiliates -- particul... Read On
May 13, 2013
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May 13, 2013
On the heels of the Great Recession, disputes involving discharge in bankruptcy have taken on greater importance -- particularly amid allegations of f... Read On
May 13, 2013
In this FINRA arbitration, public customers were incensed over their inability to reach their stockbroker to discuss their unhappiness with what they ... Read On
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