An irreverent Wall Street Blog
by Bill Singer

Street Legal: FINRA's Decision on a Financial Advisors' Tweets Is a Lesson for All

March 24, 2011

  

 

 

 

Street Legal:
FINRA's Decision on a Financial Advisors' Tweets Is a Lesson for All

 A respondent in a recent FINRA regulatory settlement had a Twitter account with 1,400 followers, and she posted at least 372 tweets, 32 of which referenced Advanced Micro Devices (NYSE: AMD). According to FINRA, the registered person needed to inform a Principal at her firm about the account and the AMD tweets. However, there's far more to the case.

READ BILL SINGER'S ANALYSIS OF THIS FINRA REGULATORY SETTLEMENT AT:

 
============================================

Don't Forget to Visit:

Wall Street's Leading Online Community:

http://BrokeAndBroker.com

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