An irreverent Wall Street Blog
by Bill Singer
by Bill Singer
Topic List for Expungement (54 results)
- Stockbroker Wins Expungement Of Suitability Complaints
May 7, 2013 - Oral Customer Complaint Expunged From Broker's Record
March 8, 2013 - UBS And Merrill Lynch Win $2.5 Million DotCom Customer Case
February 11, 2013 - UPDATE: Broker Wins Expungement Of Sleeping Dog Customer Complaint
January 29, 2013 - Merrill Lynch Collateral Damage in Goldman Sachs Floating Rate Trust Case
January 2, 2013 - Merrill Lynch Settles Customer Suitability Case Despite Apparent Profitability
December 14, 2012 - Taped Phone Conversations Discredit Customer And Exonerate Stockbroker
October 25, 2012 - Stockbroker Preserves Reputation With Voluntary Termination
October 12, 2012 - Former Employee Wins Wrongful Termination FINRA Expungement Case
October 11, 2012 - Exonerated Stockbroker Remains Victimized In Public Customer Arbitration
October 8, 2012 - Customer Settled Suitability and Churning Case But Stockbroker Wins Expungement
September 11, 2012 - Former Chase Investment Employee Wins Happy Birthday Wrongful Termination Expungement
August 28, 2012 - Pinnacles's $1 Million Arbitration Not Credible, Probative, Substantive, Or Meritorious
July 31, 2012 - Fired Chase Employee Counter-Punches To FINRA Expungement Victory
July 30, 2012 - Sleeping Dog Bites Former Raymond James Employee After Form U5 Expungement
July 23, 2012 - PNC Broker Exonerated In FINRA Customer Dispute But Saddled With Expungement Ordeal
July 6, 2012 - Wells Fargo Registered Persons Victimized By Abandoned Customer Arbitration And Expungement Process
June 21, 2012 - Fidelity Relationship Managers Win One,Lose One In FINRA Expungement Hearing On Settled Customer Complaint
June 14, 2012 - Back To The Future For Barred Stockbroker In Federal Expungement Case
May 24, 2012 - E*Trade Settles Auction Rate Securities Case But The Product Keeps On Giving Grief
May 16, 2012 - Wells Fargo Settles With Customer But Broker Wins Expungement
May 1, 2012 - FINRA Arbitrators Say Public Customer Claimant Grossly Misled Wachovia
April 25, 2012 - FINRA Arbitrator Finds Merrill Lynch Defamed Former Broker
April 17, 2012 - Broker Wins Expungement of Sleeping Dog Customer Complaint
March 20, 2012 - Discharged Wachovia Employee Wins Form U5 Expungement
January 4, 2012 - Customer Settles Annuity Claim But Stockbroker Wins Expungement
December 29, 2011 - Former UBS Employee Sues Over U5 Failure to Disclose 2003 Termination
December 28, 2011 - Carl Kipper's Exoneration In The Springfield, Merrill Lynch, $14 Million CDO Mess
December 27, 2011 - In Citigroup Arbitration, A Falling Tide Stranded All Boats And Investments
December 27, 2011 - A Lot of Greif Between Investment Bank Employer And Former Employees
December 7, 2011 - FINRA Arbitration Expungement for Wells Fargo Broker
December 2, 2011 - Lack of Communication About A Conservative Portfolio Ended In A FINRA Arbitration
December 1, 2011 - Citigroup Stockbroker Wins Expungement Even Though Customer Was Paid a Settlement
November 9, 2011 - Cancelled FAZ Purchase Leads to MSSB Arbitration and Expungement
October 17, 2011 - UBS Broker Wrongly Named In Customer Arbitration Forced Into Expungement Nightmare
October 14, 2011 - Public Customer Gets Legg Mason Fund Settlement From Ameriprise But Broker-Of-The-Day Exonerated
September 19, 2011 - FINRA Arbitration Panel Hammers Employee Seeking U5 Expungement
August 12, 2011 - UBS Broker Wins FINRA Expungement After Customer Sues Over Lehman and Citigroup Losses
July 26, 2011 - Edward Jones Broker Wins Expungement in Settled FINRA Customer Arbitration
June 20, 2011 - Former Chase Broker Goes Toe to Toe in FINRA Expungement Victory
June 14, 2011 - FINRA Arbitration Panel Re-Writes Defamatory Form U5 of Terminated Chase Employee
June 10, 2011 - Former Banc of America Broker Throws Kitchen Sink in FINRA Arbitration
June 3, 2011 - Unnamed UBS Brokers Demand Expungement in FINRA Arbitration
June 2, 2011 - UBS FINRA Expungement: Good news and bad news for unnamed stockbroker
February 23, 2011 - Edward Jones Broker Wins Expungement
February 7, 2011 - Unnamed FINRA Arbitration Respondent Wins Expungement -- What??
November 17, 2010 - How Did I Get Here? Uninvolved But Still Named As Respondent in Customer Complaint
November 15, 2010 - Customer Sues Stockbroker But Later Says He Doesn't Blame Him
October 21, 2010 - FINRA Arbitration Panel Rejects Duty to Advise on Tax Consequences by Broker
October 6, 2010 - Claimant Wins Expungement of Defamatory Disclosures at FINRA Arbitration
September 20, 2010 - Former UBS Employee Settles With Firm and Obtains Expungement of U5
August 31, 2010 - FINRA Arbitrator Orders Expungement of Defamatory U5
July 21, 2010 - Somehow, Someday, Somewhere -- a FINRA Customer arbitration.
June 3, 2010 - An Inexplicable FINRA Customer Arbitration. RRBDlaw.com Cases of Note Now Online!
May 19, 2010