An irreverent Wall Street Blog
by Bill Singer

The Gates of Hell: Bill Singer's Take on 3 FINRA Cases

December 7, 2009

 

 

The FINRA Gates of Hell

Above the gates to Hell is a sign: "Abandon Hope All Ye Who Enter Here" - some folks swear that the same words are posted above the doors to the Financial Industry Regulatory Authority (FINRA). However, as a few recent FINRA disciplinary cases show, not every regulatory case results in the respondent being damned for life.

By: Bill Singer, Publisher of RRBDLaw.com and BrokeAndBroker.com

VISIT WALL STREET'S LEADING ONLINE COMMUNITY
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 OBA U5 Fraud Promissory Note Email U4 Guest Blog Wire Fraud Merrill Lynch UBS Morgan Stanley Elderly EFL Guest Blogger Forbes FBI Defamation CRD BrokerAndBroker PST Suitability Statutory Disqualification Aegis Frumento Citigroup ALJ Ponzi Rule 3270 Borrowing Whistleblower BrokerCheck Supervision Outside Business Activity Bank OIP IRS DOJ Form U4 Felony Willful Wachovia Wrongful Termination NAC SDNY Supreme Court Expenses Ameriprise Rule 2080 IRA Pro Se OHO Mail Fraud Discretion WSP Wife BrokeAndBroker Husband CCO Insider Trading Rule 8210 Checks Conversion RIA Discovery Employment Tuesday Form U5 Punitive Damages Dodd Frank Settlement Forgery NASD Madoff Bankruptcy Tax Estate Raymond James Rule 3240 Rule 2010 Credit Card Frumento Rule 3040 Private Securities Transaction Willfulness Business Expenses Rule 1122 LPL JP Morgan Small Firm Power of Attorney Commissions Real Estate NYSE Indictment Bar Edward Jones Wall Street Facebook Outside Business Activities 2Cir Corrective Action Statement Impersonation Street Legal Exam Annuities Rule 3280 Bank of America Mortgage Margin Tax Lien Spouse ATM Case In Point Promissory Notes SRO Complaint Wire ETF Stephen Kohn Antitrust Beneficiary ARS Schwab Test Trust Offer of Settlement Tax Liens Schapiro Appeal Rule 2510 Employee Forgivable Loan NSF Goldman Sachs VA Due Diligence Away Account Trustee Insurance Injunction Spouses Misdemeanor POA Barclays Securities Fraud Loan OTR T&P Unauthorized Discretion NASAA Conspiracy HFT CFTC Signatures Annuity Flash Crash Rule 12206 Great Recession Money Laundering Fidelity PCAOB Lien Options Initial Decision Chase Signature DCCir Mandatory Arbitration Cease And Desist RBC Credit Cards Failure to Supervise Rule 3010 Compliance Eligibility Rule NASDAQ Bonus Dissent Remand Deutsche Bank Burris LOA Rule 4511 Huffington Post Undisclosed Settlement Liens Disclosure Lehman Brothers Unsuitability Stay Variable Annuity Fiduciary Bharara RRBDLAW.com Unfair Competition Hacker MSSB email Identity Theft Gallagher Registered Rep Magazine Scottrade E*Trade Continuing Education Rule 3050 Solicitation Stockbrokers Letter of Authorization Apple FINRA Arbitration employment JPMorgan Motion to Dismiss Rule 4530 Reg SP Forex Annual Compliance Questionnaire Hacking Malware Retirement Broker Protocol Reimbursement Divorce Deceased Customer Audit Wedbush ACQ brokeandbroker Rule 12805 Second Circuit Trump Net Capital 2nd Circuit Customer Complaint Solicited Prison Registration jobs Will Away Accounts Variable Annuities FINOP Social Media Website Explained Decision Willfully Blockchain Sexist OWB Spoofing Wey BrokeAndBroker Bill Singer Jurisdiction Unauthorized Trading Sanctions Self Regulation TRO Lehman LIBOR Board arbitration Plea FOREX Internet Time And Price Elder Abuse RRBDlaw.com BOP MetLife Personal Expenses Hilton Weiner Zipper China BrokeandBroker Confidential Information Crypto Telephone Trading Platform BrokeAndBroker.com Blog Brummer 10Cir Private Securities Transactions REIT Newman Sexism Private Placement Arbitraiton Unsolicited Judgments IC3 Cryptocurrency Commission Bureau of Prisons RMBS DOL ADA Morgan Keegan Lawyer FNMA Lucia Statute of Limitations Postponement Knight Botkin NYAG Rakoff Securities Industry Commentator Indemnification Testimony Rule 2111 Rule 3110 Discrimination Disgorgement Stifel Nicolaus 9Cir Imposter Crowdfunding Auction Rate Securities Loans Hedge Fund Rule 2150 Dakota Securities Emails Stifel Bonds Check Kiting Rule 12200 Mutual Funds Severance bill singer Piwowar IPO Joshua Brown MC-400 Marijuana Protocol WSPs Obstruction of Justice Examination Unjust Enrichment Cheating Phishing Ketchum Reg D OIG Vacatur Restaurant Morgan Stanely Whistleblowing OSHA CE Article V Oppenheimer Banc of America SAC Pennystock Shah Gilani Woody Allen Conflict Hurry Suspension Debit Card Aleynikov Fees Confidential PNC Customer Information Puerto Rico Executor Regulation SP Bloomberg Passcode Affinity Fraud Check Bear Stearns Confirm Charles Schwab Compensation Khuzami MF Global Appointments Clause Dementia EIA Due Process Charge CEO JOBS Act Churning Rule 2081 Medicare Affiliate High Frequency Trading Sanction Guidelines Raiding Class Action Rosenthal Recruiting Stanford Rule 13805 Gold Wine Wire Transfer Waiver AML Bandimere PN Reg S-P Retaliation Concentration Casino Aguilar Layering USERRA Slander Mother Federal Reserve Bitcoin Feigenbaum Johnny Burris Statement of Corrective Action Board of Governors Chief Compliance Officer Finder\'s Fee Small Firm Governor Parking CRS Rule 4513 Mutual Fund Margin Call Motion to Vacate Public Interest ACH Testing Online Membership Continuance TSSB Linde Murphy Rule 3030 Yesenia Guitron Consent Order Embezzlement Smith Barney Statutory Disqualification Committee Morgan Stanley Smith Barney Bid Rigging Bank Fraud Guitron Hearing Unregistered Corzine Charity Deferred Compensation Government Accountability Project Corruption Non Solicitation Written Supervisory Procedures TOD Disability Termination ING TD Ameritrade Pennystocks Form ADV Rule 12504 Laptop Rule 9552 Failure To Supervise 401k Marine Corps White Unauthorized Practice of Law Day Trading Poteroba Employment Agreement Marketplace Sales Assistant Vault Manifest Disregard Outside Account Accounting FAA CNBC Series 7 Whitman McDuff Ride the Thunder Penson Self Regulatory Organization Moon Leveraged ETF Eligibility Information PAQ Side Bar Trade Secrets Widow Commodities Fraud HSBC Teleconference Counterclaim SunTrust NPR 6th Circuit Private Placements Cannabis Vietnam Kon Marines Regulation Credit Suisse Negligence CPA CGMI FINRA AWC Argentina Thain Cold Spring Advisory Group David Lerner OCIE Judgment Google Female Stop Loss Fifth Amendment 401(k) SP TCR Florida WaMu Sexual Discrimination Circuit Court TIC Resignation Oral Discretion Outside Accounts Excessive Trading YouTube Investment Adviser Stockbroker Verbal Discretion Tortious Interference BD expungement Kiting Rule 2210 Inability to Pay Sexual Harassment Do Not Call WB-APP BrokerAndBroker.com RRBDlaw Rule 21F Money Market Rule 12212 Commissioner Stein Meals Chase Investment Services Arrest Privilege Inside Information Attorneys Fees Probate OWWP Libel signature Counterfeit Settling Away Unsuitable Congress Password First Amendment Elder Law Escrow Research Investor Alert Schneiderman 11th Circuit Chiasson CD Jennifer Tarr Commodities Elles Amazon Rule 13200 Over Concentration Fowler Timban Motion BATS Non-Solicitation Rule 9216 Electronic Communications Nietzsche Rory Flynn Star Wars 4Cir 9/11 IAR Medical Condition Equity Indexed Annuities Robert Cook Rule 2370 Guest Bloggers Taft Correctional Institution Standing FOCUS Administrative Remedies Client Information Lincoln Financial David Sobel Dell Stipulated Award Scottsdale BrokeAndbroker Broke And Broker Inmate Obstruction Backstage Wall Street Subpoena Fine Constitution SIFMA Robert Muh Joint Account TheBlot FCI Beaumont Hospital Sharemaster AXA Department of Justice FCI Wanger Moore Netschi Christian Stanley Reverse Life Insurance Third Party Vendor Tax Fraud Turnover Scholander Red Flags Control Person Withdrawals 40 Act VXX VIX Elder Fraud Rule 1031 ADR Reason for Termination Cherry Picking Trader Capital Gains Kent Expert Witness God Nationwide Oilpro Naskovets Skimming Pruco Disparate Treatment 10b-5 DWI Newport Coast Securities IM Coin Kierkegaard Stock Promotion Sears Practice Sale Undercover Supervisor Puts Election Newbridge BrokeandBroker.com Non-Prosecution Agreement Transfer Compliance Questionnaire Wages Pacifico Disciplinary History Mary Schapiro CMO Permanent Bar Life Settlement Clayton Springsteen McCartney Pension Retired Woman With Cane Tennis Court Johnson Cellphone Short Sale Selling Away Compromise Guardian Exhaustion Doctrine Powell Scam Reverse Merger Koval Wires Wire Transfers EDNY NFA Wells Fargo Advisors US Airways Reform Dinner iPhone Kenneth Starr JPM FDA Data Bill Singer BrokeAndBroker Theft Merger Test Center State Farm Respondeat Superior BIll Singer Bill singer Diamonds Relevant Regulation S-P Death LLC Eric Stein Anderson Motion To Dismiss Flash Drive Compliance Officer Financial Disclosure Mary Jo White Lee Undertaking Brokeandbroker.com Exception Reports Chevron UIT Janney Montgomery Scott Martoma Silver Section 206 9th Circuit Evidence SEC Rules of Practice Mistake Annual Audit 17a-5 Elon Musk Lek NML Trading Life Insurance Statute of Limitation Outside Counsel In House Counsel Father S&P FNI Media AWC. FINRA Sex Bank Guarantee Laser Customer Files Martin Mattera Credit Repair Blank Forms Hugh Hewitt Trainee Fee FMLA Initials Taxes Murray Summary Judgment Fines Fiero Liquidation BrokeAndBroke Salman 1Cir Branch Manager Romer Fourth Amendment Kennedy Retroactive Bar Women Securities and Exchange Commission GAP Attorneys\' Fees Merrill NYG Capital Retroactive Expense Collateral Bar Advisor Placement Group Reuters Bartko Self Reporting NRSRO Municipal Advisor Gabelli FINRA Small Firm Proctor Molchatsky 8210 Lewis Carroll Texas State Securities Board PIABA House Financial Services Game of Thrones Production Cybercrime Falsification false statements 1099 Books and Records Constructive Discharge Goble Sarbanes Oxley ALJ Grimes Tippee Executrix Altered Records Tipper SD Lexicon Lawyers Travel Payroll Ethics National Securities Texting Books And Records FTC Chase Bank Promoter ADEA Customers Rule 3210 Funds Preet Bharara Broy Boyland Rules of Practice SIPC BBVA Bob Dylan Stephen A. Kohn FINRA Board Subway Finra Rule 2330 Nasdaq Spoliation MSPB Fiduciary Duty FCPA Sterne Agee BitTorrent Witness Tampering Immunity Bribe Impersonator Prime Bank Hertz Conflicts Schumer Dow MBS Enforcement Rule 3310 Confidential Customer Information Walter Reasonable Diabetes AIG Rule 420 Exotic ETF Turbeville Quasi Governmental Solomon Grievance Spam Service Costa Rica Sharing Agreement Leveraged ETFs Well Managed Portfolio Work Product Apartment Collateral Motion to Compel Currency Obamacare RRBDLAW Galleon Criminal Excel Risk Personal Information Jon Corzine CDO Merill Lynch AAA Willfull Varney Offset Microcap Baby Boomers Checking Countrywide Fee Office of Special Counsel Unauthorized Trades Tran RICO Bezos EDPA