An irreverent Wall Street Blog
by Bill Singer
by Bill Singer
Topic List for Awc (83 results)
- Chief Compliance Officer Cited For Deficient Private Placement Practices
May 23, 2013 - A Family Affair In FINRA Discretion Settlement
May 22, 2013 - Blank Forms Jam Up Broker In Annuity Sales
May 16, 2013 - Former Merrill Lynch Broker Plagiarizes Research Reports
May 14, 2013 - Broker Hits Trifecta With Conversion, Borrowing, and Undisclosed Settlement
May 13, 2013 - Chase Customers Targeted In Signature Card Scheme
May 13, 2013 - Suitability Arbitration Raises Questions About FINRA AWC
May 13, 2013 - NEXT Smelled Email Smoke But Didn't Pull Compliance Alarm
May 7, 2013 - Stockbroker Fined And Suspended For Managing Clients' Households
May 7, 2013 - Stockbroker's Real Estate Sale Runs Afoul Of Borrowing Rule
May 7, 2013 - NSF Checks Short Change Analyst's Career
April 29, 2013 - Blank Customer Forms Can Blank Your Wall Street Career
April 25, 2013 - Elderly Customer's Signature Submitted Three Days After His Death
April 25, 2013 - Former Raymond James Broker Stumbles With Discretionary Sales
April 23, 2013 - Pruco Broker Impersonates 9 Customers In Phone Calls
April 22, 2013 - Negligence Prompted Good Faith Alteration Of UBS Customer Phone Records
April 19, 2013 - Former ING Broker Runs Afoul of Beneficiary, Borrowing, And Away Account Rules
April 19, 2013 - Chase Employee Took Cash From Customer's Lost Wallet
April 18, 2013 - Not About Trust As A Trustee For Former Wells Fargo Advisor
April 18, 2013 - Small Fish Fry On Wall Street
April 12, 2013 - Line Between Signature And Forgery Trips Up Former Wells Fargo Broker
April 11, 2013 - Former Wells Fargo Broker Swallows Bitter Pill After Pharma Sales
April 9, 2013 - Former Chase Broker Initials And Signs His Way Out Of A Job
April 4, 2013 - YouTube Annuities Videos Lead To Fine And Suspension
April 3, 2013 - Chase Banker And Broker Uses Unauthorized Customer Credit Cards
April 2, 2013 - Stockbroker Makes Bad Impression Impersonating Customer's Husband
March 28, 2013 - MetLife Broker Barred After Repaying Customer In Full With Interest
March 21, 2013 - Stockbroker's Sitting In On Investment Discussion Becomes Private Securities Violation
March 19, 2013 - Morgan Stanley Broker Cited For Discretion And Unsolicited Trades
March 19, 2013 - Commodities Biz Turns Into Outside Business Nightmare For FINRA Broker
March 19, 2013 - Merrill Lynch Avoids Cyprus Bank Wire Disaster
March 19, 2013 - Filling In The Blanks Gets Chase Stockbroker Fined and Suspended
March 18, 2013 - Former Chase Investment Rep And Banker Pleads To Grand Larceny And Identity Theft
March 14, 2013 - Wall Street's Self Regulator Prohibits Guarantees Against Customer Loss
March 13, 2013 - Former Wells Fargo Broker Rips Off Elderly Widow
March 12, 2013 - After Borrowing From Customer, Stockbroker Ordered To Pay Restitution
March 7, 2013 - Something Up Continuing Ed Sleeve Leads To FINRA Bar
March 7, 2013 - Oral Notice Of Outside Accounts Still Earns FINRA Fine
March 6, 2013 - Fantabulous Tale Of Chase Bank Customer's Missing Wallet
February 23, 2013 - Customer Paid Interest From Nonexistent IRA
February 20, 2013 - FINRA IRAte About Cut And Pasted Customer Signatures
February 15, 2013 - Avocado Consulting Makes Guacamole Out Of Stockbroker's Career
February 13, 2013 - Tax Liens And Judgments Snare Stockbroker
February 12, 2013 - MetLife Securities Unsettling Customer Settlements
February 8, 2013 - Broker Charged With The Old Cut And Paste Signature Shortcut
February 7, 2013 - Stockbroker Barred For Living Trust Trustee Conduct
January 30, 2013 - Stockbroker Charged With Outside Business Activity For 401k Consulting
January 30, 2013 - Did You Hear The One About The Stockbroker And His Mother In Law?
January 29, 2013 - Compliance Officer Gets Too Creative With Customer Complaint File
January 25, 2013 - Credit Card Charges Cancel Career On Wall Street
January 25, 2013 - Till Death Do Us Part Stumps Stockbroker
January 11, 2013 - Not Borrowing Money From Customers Got Stockbroker Suspended
January 10, 2013 - Veteran Stockbroker Fined And Suspended For Personal Checkbook Miscues
January 8, 2013 - Morgan Stanley Broker Fined And Suspended For Taking Fidelity Customer Data
January 7, 2013 - Stockbroker Fined And Suspended For Using Microsoft Excel Spreadsheet
January 5, 2013 - LPL Broker Tripped Up By Undisclosed IRS Tax Lien
January 3, 2013 - A Stockbroker Uses Personal Emails And Unparalleled Yardstick
December 19, 2012 - NASDAQ QQQ Stop Loss Strategy Earns Stockbroker Fine And Suspension
December 12, 2012 - FINRA's $25,000 Antiviral Guessing Game
December 10, 2012 - Re-Sales Of Wells Fargo Ink Cartridges Jams Up Manager's Career
December 4, 2012 - Trading For The Dead Posed Grave Problem For Stockbroker
December 3, 2012 - Undisclosed Tax Liens And State Regulatory Action Trip Up Stockbroker
November 15, 2012 - Stockbroker Disqualified Amid Borrowing, Liens And Judgments
November 14, 2012 - Undisclosed Bankruptcies,Tax Liens and Judgments Derail Stockbroker
November 13, 2012 - Sharing Commissions Gets Stockbroker Tossed From Industry
November 8, 2012 - Wells Fargo Broker Fined And Suspended For REIT Customer Referral
November 7, 2012 - Settled Stop Loss Order Is Loss For Stockbroker
November 6, 2012 - A Wife's And A Customer's Outside Accounts Land Stockbroker In FINRA Detention
October 29, 2012 - Sexist Double Standard? Female Sales Assistant Sanctioned By FINRA
October 26, 2012 - Felony Strangulation Charge Gets Stockbroker Fined And Suspended
October 19, 2012 - Wall Street's High Standards And Honor Demolish Lowly Female Sales Assistant
October 17, 2012 - Barred Wall Streeter Returns As Public Customer And Jams Up Compliance Officer
October 9, 2012 - FINRA Says Test Taker Lacked Potty Training
August 7, 2012 - Canaccord Broker Barred For Bogus Commissions
August 3, 2012 - FINRA Punishes Customer Loss Reimbursement By Stockbroker
August 2, 2012 - A Stockbroker's Undisclosed Arrest Sets Off A Regulatory Cavalcade Of Disaster
June 27, 2012 - Back To The Future For Barred Stockbroker In Federal Expungement Case
May 24, 2012 - NSF Checks Checkmate Stockbroker's Career
May 24, 2012 - Bounced Personal Checks Get Merrill Lynch Broker Suspended By FINRA
April 12, 2012 - Four Warnings Brokers Miss When Settling With FINRA
April 12, 2012 - FINRA Finds A Lot Of Bull In A China Shop
February 6, 2012 - Ameriprise Forgery Case: The turtle of self regulation
June 30, 2011 - Morgan Stanley Agrees to $800,000 Research Report Fine
August 10, 2010