97 Year Old Client Names Stockbroker Executor And Beneficary http://www.brokeandbroker.com/3663/finra-elderly-estate/
In today's BrokeAndBroker.com Blog, publisher Bill Singer, Esq. considers yet another case in which a stockbroker is appointed both an executor and beneficiary of an elderly client's estate. Yeah, sure . . . roll your eyes and shake your head because such a circumstance should warrant concern. On the other hand, when you read the fact pattern, you'll see that there are some nuances to this particular matter that may dispel some of your first impressions. READ http://www.brokeandbroker.com/3663/finra-elderly-estate/
Five Not So Easy Thought Pieces About Pro Se FINRA Arbitration http://www.brokeandbroker.com/3662/finra-pro-se-arbitration/
You got your five easy pieces. Then you got your five not-so-easy thought pieces about Wall Street employees representing themselves in FINRA arbitrations against their former employers. In today's featured BrokeAndBroker.com Blog commentary, our publisher Bill Singer, Esq. dissects a fairly mundane pro se Claimant's case against TIAA-CREF. Bill asks important questions about the pros and cons of such amateur hour lawsuits. If your finances are such that you can't afford a lawyer, consider some of the issues raised in the article. READ http://www.brokeandbroker.com/3662/finra-pro-se-arbitration/
SEC Nixes Stay Of Statutory Disqualification (BrokeAndBroker.com Blog)
When FINRA finds a Respondent has engaged in a willful failure to disclose, that determination typical earns a statutory disqualification. You ask FINRA and the self-regulator will argue that it did not impose the SD but that it occurs by operation of law. FINRA claims that it does not impose a "statutory disqualification" but merely a finding of willfulness, which triggers the disqualification. That all may strike you as a lot of esoteric, legal mumbo jumbo. It may well be. On the other hand, an appeal of a FINRA finding of willfulness is now on the SEC's radar screen and the ramifications of this academic debate take on very serious real-life consequences.
FINRA Schrodinger Cat Is Dead, Alive, And A Zombie http://www.brokeandbroker.com/3658/turbeville-finra-/