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 Employment Street Sweeper Jobs Expungement Bill SInger Fraud Promissory Note Wells Fargo Forbes Wire Fraud Email OBA FBI UBS U5 U4 Merrill Lynch Ponzi EFL Elderly Outside Business Activity Citigroup Borrowing Morgan Stanley Wachovia IRS Defamation Whistleblower Rule 3270 Felony Statutory Disqualification Suitability OIP Supreme Court Bank Employment Tuesday Mail Fraud PST Form U4 DOJ Madoff BrokerAndBroker Insider Trading Wrongful Termination ALJ Expenses Street Legal Punitive Damages Forgery Supervision IRA Private Securities Transaction Indictment Ameriprise Facebook SDNY Credit Card Checks Rule 3040 Raymond James Conversion Real Estate Exam Case In Point ATM Bankruptcy Schapiro NAC NYSE Discovery Wire Dodd Frank CCO Form U5 BrokerCheck LPL Antitrust NASAA Employee Forgivable Loan Mortgage Rule 8210 Annuities Bank of America Appeal Securities Fraud Goldman Sachs Misdemeanor Schwab Chase Settlement Test Rule 3240 Willful Wall Street Power of Attorney Impersonation Outside Business Activities Tax Lien Discretion Signature Huffington Post Money Laundering RIA Pro Se ETF ARS Commissions Hacker 2Cir SRO NSF Trustee Business Expenses Wife LOA Registered Rep Magazine MSSB RRBDLAW.com Flash Crash Gallagher Bharara Spouse JP Morgan Complaint Bar Malware OHO HFT WSP E*Trade NASDAQ Estate Tax Fidelity Due Diligence Lehman Brothers Husband Barclays employment Continuing Education Forex Credit Cards FINRA Arbitration Trust Signatures CRD NASD arbitration Injunction Away Account Bonus CFTC Remand Rule 2010 RBC Identity Theft Corrective Action Statement Deutsche Bank Letter of Authorization Promissory Notes Second Circuit 2nd Circuit jobs Tax Liens POA Conspiracy Loan IC3 VA email Margin Edward Jones Telephone Private Placement RRBDlaw.com Lien Guest Blog Away Accounts Stockbrokers LIBOR Prison Social Media Offer of Settlement Annuity Great Recession China Registration Internet Cease And Desist Scottrade Rakoff OTR Trading Platform NYAG brokeandbroker Plea Undisclosed Settlement Hacking Judgments Knight Beneficiary Solicitation Wedbush Hedge Fund Banc of America Reg SP Liens JPMorgan SAC Website Shah Gilani Retaliation Phishing Net Capital Morgan Keegan Rule 1122 Cheating Joshua Brown Audit Protocol Raiding Confidential Information Piwowar Variable Annuity BrokeAndBroker Bill Singer Rule 3050 Insurance Wine Ketchum Medicare Initial Decision Compliance Obstruction of Justice TRO Apple Lehman Woody Allen OWB Aleynikov EIA RMBS MetLife Auction Rate Securities Gold Options Solicited Variable Annuities Khuzami FOREX Retirement Crowdfunding Sales Assistant Vault Corruption CE Rosenthal Recruiting Bear Stearns Smith Barney Poteroba 6th Circuit Eligibility Affinity Fraud Embezzlement ADA Marketplace Vacatur Stanford Eligibility Rule Unsolicited NPR White Laptop Failure to Supervise Self Regulation bill singer Online Divorce Waiver T&P BrokeandBroker IPO Fees Customer Complaint Aguilar Private Securities Transactions Sexism OIG Morgan Stanley Smith Barney Failure To Supervise Willfully PN REIT PCAOB Annual Compliance Questionnaire Check Will Customer Wire Transfer Bid Rigging Regulation SP Bank Fraud Small Firm Confirm Bloomberg Deferred Compensation USERRA Unregistered Side Bar Unfair Competition Chief Compliance Officer Discrimination BOP ING Time And Price MF Global Debit Card Morgan Stanely Examination Penson Bureau of Prisons Executor Due Process Female Rule 2510 Chase Investment Services HSBC JOBS Act Judgment Written Supervisory Procedures FINOP Pennystock Outside Account Frumento Charles Schwab Netschi Moore 401k Registered Investment Advisor Article V Argentina Do Not Call AML CNBC Commodities Fraud Backstage Wall Street Sexist Hurry Spoofing Moon Private Placements Charge Loans Credit Suisse Finder\'s Fee BrokerAndBroker.com Information Fowler Casino IAR Testimony Compensation Charity Tax Fraud FNMA Restaurant Commission Check Kiting Disclosure Non-Solicitation Confidential CPA Florida Teleconference Corzine Fifth Amendment RRBDlaw Rule 12206 Gusrae Kaplan Rule 3010 WaMu Elles Severance CGMI Employment Agreement Fiduciary Passcode Lawyer Series 7 Schneiderman 11th Circuit Sanction Guidelines Department of Justice Reg D Broke And Broker Hospital David Sobel TIC Equity Indexed Annuities Dell Termination Day Trading Obamacare Willfulness Disability Hertz Deceased AIG Newman Arbitraiton Commodities SIPC Boyland Bribe PNC Undercover TD Ameritrade Money Market Data Unauthorized Discretion NML Investment Advisor Pennystocks Trainee Fee AXA Trader Arrest Mattera Laser FTC Advisor Placement Group Kennedy Credit Repair Inmate Non-Prosecution Agreement Spouses Pacifico Evidence Rule 2370 Broker Protocol Practice Sale Investor Alert Unjust Enrichment 1099 Summary Judgment Tran Countrywide Bank Guarantee Silver Costa Rica Third Party Vendor Inside Information Lee Thain Schumer signature 8210 Small Firm Governor Preet Bharara Counterfeit Attorneys Fees Walter Johnson RRBDLAW Leveraged ETFs Galleon Stifel Immunity Subway Timban Motion Sexual Harassment EDNY Wey Brummer Diabetes Nasdaq Settling Away Sanctions FCPA Jurisdiction Dow Conflict Cellphone US Airways Rule 1031 Parking Executrix Cybercrime Spoliation BrokeAndBroke Rule 12200 Altered Records Reimbursement Criminal Rule 9216 Electronic Communications BrokeandBroker.com Brokeandbroker.com Expense Fiero Reverse Merger Impersonator Books And Records BitTorrent Imposter JPM SP Reverse Life Insurance CRS Fiduciary Duty DWI Sexual Discrimination SunTrust Payroll Oppenheimer Red Flags Sharing Agreement Anderson Administrative Remedies Layering Proctor Martin Koval Lincoln Financial Books and Records Broy Circuit Court Naskovets Branch Manager Skimming Eric Stein 401(k) Mandatory Arbitration Commissioner Stein Selling Away Obstruction Password FOCUS Falsification Consent Order TSSB Reuters Bill Singer BrokeAndBroker Leveraged ETF Mary Jo White Testing Congress Motion To Dismiss FINRA AWC false statements Andrew Wels Goble House Financial Services Client Information Flash Drive Merrill Spam Explained Decision Stock Promotion High Frequency Trading Christian Stanley iPhone Counterclaim Compromise Short Sale Mother Joint Account Outside Accounts BBVA Initials Reg S-P Varney Dissent Customer Files Taft Correctional Institution Class Action David Lerner McDuff Rule 4530 Kenneth Starr Unauthorized Trading God