An irreverent Wall Street Blog
by Bill Singer
by Bill Singer
Topic List for Finra (605 results)
- Wells Fargo Broker Took Regulatory Bank Shots
June 18, 2013 - Time For FINRA To Get Its Own House In Order
June 16, 2013 - Stockbroker Loses City Council Race And Defrauds Elderly Contributor
June 14, 2013 - Stockbroker Forges Coworker Signature On Two Payroll Checks
June 14, 2013 - $225,000 Conversion Involving Elderly Clients Gets Broker Barred
June 13, 2013 - Broker Removed As Executor By Customer
June 13, 2013 - SEC Reversed On Imposition of Bar
June 12, 2013 - Lehman Brothers Suffers Stunning Promissory Note Defeat
June 11, 2013 - Former Merrill Lynch Employee Files $3.8 Million Wrongful Termination Case
June 6, 2013 - Broker Pocketed Customer Investments For Four Years
June 5, 2013 - Stockbroker Fined And Suspended For Helping Senior Citizen
June 3, 2013 - Penny Stock Sales Mismarked As Unsolicited
May 31, 2013 - Untimely Disclosures Of Tax Liens And Bankruptcies
May 31, 2013 - Wedbush In Battle Royal With Former Employee
May 30, 2013 - Customers Complain That Edward Jones Did Not Stop In The Name Of Love
May 24, 2013 - Chief Compliance Officer Cited For Deficient Private Placement Practices
May 23, 2013 - A Family Affair In FINRA Discretion Settlement
May 22, 2013 - ProEquties Tagged in TIC Arbitration
May 17, 2013 - The $2.6 Million Question In Goldman Sachs Suitability Arbitration
May 16, 2013 - Public Customer Wins Messy Private Placement Arbitration
May 16, 2013 - Blank Forms Jam Up Broker In Annuity Sales
May 16, 2013 - Former Merrill Lynch Broker Plagiarizes Research Reports
May 14, 2013 - Cantor Fitzgerald Defends $13 Million Wrongful Termination Suit
May 13, 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's Real Estate Sale Runs Afoul Of Borrowing Rule
May 7, 2013 - Stockbroker Wins Expungement Of Suitability Complaints
May 7, 2013 - FINRA Arbitrators Enjoin Stockbroker In Employment Dispute With U.S. Bancorp
May 6, 2013 - BBVA Sanctioned For Discovery Abuse In FINRA Arbitration
May 2, 2013 - Raymond James Indemnification Dispute With Former Broker
April 30, 2013 - Lehman Brothers In Bizarre FINRA Promissory Note Cases
April 30, 2013 - NSF Checks Short Change Analyst's Career
April 29, 2013 - Wells Fargo Wins FINRA Hostile Work Environment Promissory Note Arbitration
April 29, 2013 - A UBS Promissory Note Arbitration Disclose The Hidden Costs Of Litigation
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 - Ameriprise Broker Exonerated In Great Recession Customer Case
April 16, 2013 - Small Fish Fry On Wall Street
April 12, 2013 - Line Between Signature And Forgery Trips Up Former Wells Fargo Broker
April 11, 2013 - UBS Loses Lawsuit After Former Employee Calls Firm Immoral and Unethical
April 10, 2013 - Former Wells Fargo Broker Swallows Bitter Pill After Pharma Sales
April 9, 2013 - FINRA Panel Splits On Award In Overtime Pay And Harassment Case
April 5, 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 - Barclays Wins Bonus And Severance Dispute In Split Decision
April 1, 2013 - Stockbroker Makes Bad Impression Impersonating Customer's Husband
March 28, 2013 - Merrill Lynch Selling Away Case Goes Back To The Future
March 27, 2013 - Broker Suspended For Downloading Customer Files On Flash Drive And Laptop
March 26, 2013 - Schwab Wins Unfair Competition Damages
March 25, 2013 - FBR Capital Markets Loses Commission Dispute
March 22, 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 - Statutorily Disqualified Person Cited For Acting In Associated Capacities
March 16, 2013 - FINRA CEO Ketchum's Speech And The Shortcomings Of Self Regulation
March 15, 2013 - Wells Fargo And E*Trade Battle Over Ex-Husband's Withdrawals
March 15, 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 - Webinar And PowerPoint Presentation Cited As Improper Reg D Public Solicitation
March 12, 2013 - Sabotaging 401ks. Oral Complaint Gets Expunged. Lehman EFL Loss. And more!!!
March 8, 2013 - Oral Customer Complaint Expunged From Broker's Record
March 8, 2013 - Lehman Brothers Loses Promissory Note Collection Case
March 8, 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 - Morgan Stanley Exam Taker Barred For Fudging Score To Keep Job
March 5, 2013 - Merrill Lynch Hit With $8.5 Million Wrongful Termination Case
March 1, 2013 - Stockbroker Fined And Suspended For Sending Business Emails From Personal Account
March 1, 2013 - Broker Dealer President And Chief Compliance Officer Sued By Firm
February 26, 2013 - FINRA v. Schwab. Madoff Victims In Court Setback. Missing Wallet At Chase Bank.
February 25, 2013 - Fantabulous Tale Of Chase Bank Customer's Missing Wallet
February 23, 2013 - FULL TEXT FINRA Decision On Charles Schwab Arbitration Agreement
February 21, 2013 - Customer Paid Interest From Nonexistent IRA
February 20, 2013 - Email Snafu Costs ING Subsidiaries $1.2 Million Fine
February 19, 2013 - FINRA IRAte About Cut And Pasted Customer Signatures
February 15, 2013 - UBS Wins Promissory Note Case
February 14, 2013 - SEC Sustains FINRA 8210 Document Demand For Third Party Records
February 14, 2013 - Avocado Consulting Makes Guacamole Out Of Stockbroker's Career
February 13, 2013 - Tax Liens And Judgments Snare Stockbroker
February 12, 2013 - UBS And Merrill Lynch Win $2.5 Million DotCom Customer Case
February 11, 2013 - Stockbroker Exonerated For Following Broken FNMA Compass
February 9, 2013 - MetLife Securities Unsettling Customer Settlements
February 8, 2013 - Broker Charged With The Old Cut And Paste Signature Shortcut
February 7, 2013 - Ameriprise Sort Of Wins FINRA Promissory Note Arbitration
February 5, 2013 - Public Customer As Bad Guy In Morgan Stanley Case
February 5, 2013 - US Airways Wins Massive Auction Rate Securities Award. Morgan Stanley Wins Promissory Note Case
February 2, 2013 - US Airways Wins $30 Million ARS Award Against Oppenheimer
February 1, 2013 - Stockbroker Barred For Living Trust Trustee Conduct
January 30, 2013 - Stockbroker Charged With Outside Business Activity For 401k Consulting
January 30, 2013 - UPDATE: Broker Wins Expungement Of Sleeping Dog Customer Complaint
January 29, 2013 - Did You Hear The One About The Stockbroker And His Mother In Law?
January 29, 2013 - FINRA Wrongful Termination Case Fizzles
January 28, 2013 - Compliance Officer Gets Too Creative With Customer Complaint File
January 25, 2013 - Credit Card Charges Cancel Career On Wall Street
January 25, 2013 - Ameriprise Wins Employee Promissory Note Case
January 24, 2013 - Bill Singer's Provocative FINRA Case Analysis
January 17, 2013 - Customers Sue Wells Fargo Over Leveraged ETF Trades
January 16, 2013 - Barred Stockbroker Barred Again For Wire Transfers From Elderly Client
January 15, 2013 - Citigroup Broker Exonerated In $2.5 Million Great Recession Case
January 15, 2013 - Wells Fargo Branch Manager Barred Over iPod Purchases
January 15, 2013 - Tullet Prebon's $16 Million Raiding Case Broadside Against BGC Financial Fizzles
January 14, 2013 - Lovebird Stockbroker Absconds With Girlfriend Customer's Investment
January 11, 2013 - Till Death Do Us Part Stumps Stockbroker
January 11, 2013 - Not Borrowing Money From Customers Got Stockbroker Suspended
January 10, 2013 - Raymond James Wrongful Discharge Case Is A Minefield For Stockbroker
January 10, 2013 - Former Morgan Stanley Branch Manager Litigates Hobson's Choice
January 9, 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 - FINRA Taping Rule Punted By Federal Courts
January 4, 2013 - LPL Broker Tripped Up By Undisclosed IRS Tax Lien
January 3, 2013 - Merrill Lynch Collateral Damage in Goldman Sachs Floating Rate Trust Case
January 2, 2013 - A Stockbroker Uses Personal Emails And Unparalleled Yardstick
December 19, 2012 - Stockbroker Wins Arbitration For Owed Commissions And Expenses
December 14, 2012 - Merrill Lynch Settles Customer Suitability Case Despite Apparent Profitability
December 14, 2012 - Kink In Merrill Lynch ARMOR Loses $Million Customer Arbitration
December 13, 2012 - NASDAQ QQQ Stop Loss Strategy Earns Stockbroker Fine And Suspension
December 12, 2012 - Hartford Life Wholesaler Fabricated Embassy Suite Bill For School Donation
December 11, 2012 - State Farm Stockbroker Impersonates Uncle Seeking Life Insurance
December 10, 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 - World Series Tickets Undo Wall Street FINOP And CFO
November 28, 2012 - Stockbroker's Borrowing From Elderly Client Gets Him Barred
November 28, 2012 - Morgan Stanley Wins Unfair Competition And Raiding Case Against Robert W. Baird
November 27, 2012 - SEC Approves Return To Wall Street Of Statutorily Disqualified Broker
November 26, 2012 - Janney Montgomery Scott Wins $2.4 Million Raiding Case
November 21, 2012 - Customer's Oddball ETF UIT Guarantee Allegation Proves A Winner
November 20, 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 - Wells Fargo Embroiled In Another Trainee Fee Dispute
November 12, 2012 - Sharing Commissions Gets Stockbroker Tossed From Industry
November 8, 2012 - FINRA Bars Exam Taker For Cheating
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 - Wells Fargo In Groundhog Day Deja Vu Training Fee Disputes
October 25, 2012 - Taped Phone Conversations Discredit Customer And Exonerate Stockbroker
October 25, 2012 - Thundering Silence From Customer Trumpets Wells Fargo Arbitration Victory
October 25, 2012 - Lehman Brothers Loses Nearly $500,000 Collection Case Against Former Employee
October 24, 2012 - Stockbroker Borrows From 90 Year Old Customer
October 22, 2012 - E*Trade Customer Seeks Damages for Failed Phone Transaction
October 22, 2012 - Felony Strangulation Charge Gets Stockbroker Fined And Suspended
October 19, 2012 - Wells Fargo Blindsided In Trainee Fee Loss
October 18, 2012 - Wall Street's High Standards And Honor Demolish Lowly Female Sales Assistant
October 17, 2012 - Stockbroker Preserves Reputation With Voluntary Termination
October 12, 2012 - Husband's Unauthorized Withdrawals Land Stockbroker In Hot Water
October 12, 2012 - Former Employee Wins Wrongful Termination FINRA Expungement Case
October 11, 2012 - A Stockbroker's Indiscretion Of Discretion
October 10, 2012 - Research Reports Unravel Into Stockbroker's Outside Business Activity
October 10, 2012 - Barred Wall Streeter Returns As Public Customer And Jams Up Compliance Officer
October 9, 2012 - Stockbroker Sidesteps Felony But Trips Over Misdemeanor
October 9, 2012 - Exonerated Stockbroker Remains Victimized In Public Customer Arbitration
October 8, 2012 - Stockbroker Sanctioned For Nondisclosure Of Expunged Criminal Charges
October 1, 2012 - PhD Stockbroker Fined And Suspended For Dubious Degree
September 28, 2012 - FINRA Says Stockbroker Was His Brother's Keeper In Trust Conversion
September 26, 2012 - Morgan Stanley Smith Barney Eviscerated In Fidelity Unfair Competition Case
September 25, 2012 - Wells Fargo Trainee Fee Arbitration Comes Up Short
September 25, 2012 - Merrill Lynch Failed To Provide Conducive Workplace For Employee
September 24, 2012 - Wall Street Wrongful Termination Dispute Ends With A Whimper
September 20, 2012 - Stockbroker Undone By Email Trail Of Undisclosed Customer Settlement
September 18, 2012 - Stockbroker Fined And Suspended For Service As Executor And Having Outside Accounts
September 17, 2012 - Lehman Brothers Sought $159,000 Repayment Of Promissory Note From Former Broker But Gets Zippo
September 13, 2012 - Unpaid Credit Card Bills Result In Stockbroker's Disqualification
September 13, 2012 - Shoplifting $40 From Macy's Pinches Stockbroker's Career
September 13, 2012 - ING And Wells Fargo Catch Broker Ripping Off Elderly Client
September 12, 2012 - Customer Settled Suitability and Churning Case But Stockbroker Wins Expungement
September 11, 2012 - Equity Indexed Annuities Sales Set Up FINRA Outside Business Activity Case
September 10, 2012 - FINRA Bars Broker For Loans From Elderly Widows And Family
September 6, 2012 - Former Santander Female Employee Filed $Multi-Million Sexual Harassment Wrongful Termination Case
September 5, 2012 - Suitability Paperwork Undoes Westrock Branch Manager
September 5, 2012 - FINRA Enforcement Loses Dramatic ARS Case
September 4, 2012 - Out Of State Annuity Signature Gets Former Merrill Lynch Stockbroker Fined And Suspended
August 31, 2012 - Wells Fargo Advisors Comes Up Short in Retention Bonus Case
August 29, 2012 - Former Chase Investment Employee Wins Happy Birthday Wrongful Termination Expungement
August 28, 2012 - FINRA Hits Stockbroker For Mortgage Refinance Proceeds Used To Purchase Variable Universal Life Policy
August 27, 2012 - Husband Sues Advest, Credit Suisse, And Two Stockbrokers Over Wife's Unauthorized Withdrawals
August 23, 2012 - One Errant E-Mail Gets Stockbroker Fined And Suspended
August 22, 2012 - Former Morgan Stanley Smith Barney Employee Wins Promissory Note Arbitration
August 21, 2012 - Stockbroker Fined And Suspended For Equity Indexed Annuities Sales
August 17, 2012 - Bankrupt Stockbroker Fined And Suspended By FINRA
August 15, 2012 - Securities And Exchange Commission Video Walks Informants Through Whistleblower Process
August 13, 2012 - Deleted AOL Mail Lands Stockbroker In FINRA Trash Folder
August 10, 2012 - Ameriprise Gets Nasty Surprise Over Sale Of Financial Planning Practice
August 9, 2012 - FINRA Charges That Real Estate Loan Was Improper Borrowing By Stockbroker
August 8, 2012 - Joint Venture Collapses Into FINRA Arbitration Slugfest Over Fee Division
August 8, 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 - FINRA Fines And Suspends Broker For Improper Customer Loans
August 1, 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 - $5 Million Customer Case Fizzles Against Janney Montgomery Scott, Jesup & Lamont, And Wachovia
July 30, 2012 - FINRA Trifecta Earns Stockbroker Fine And Suspension For Borrowing, U4, Private Securities Transactions
July 27, 2012 - Wall Street's Women Set Up For Regulatory Failure
July 25, 2012 - A Stockbroker's Survival Guide: Felonies And Misdemeanors -- what to do
July 24, 2012 - Former Citi Stockbroker Fined And Suspended In Form U4 Felony Disclosure Case
July 24, 2012 - Sleeping Dog Bites Former Raymond James Employee After Form U5 Expungement
July 23, 2012 - Pain Pills Put Stockbroker In A World Of FINRA Hurt
July 19, 2012 - Stockbroker Victimized By Husband's Withdrawals From Wife's and Child's Accounts
July 19, 2012 - Classic FINRA Case Of A Stockbroker Borrowing From A Client
July 18, 2012 - Bankrupt Stockbroker Winds Up Statutorily Disqualified
July 18, 2012 - Stockbroker's DUI Puts Career In The FINRA Ditch
July 17, 2012 - FINRA Settlement Attacked By Barred Respondent As Misstating Facts
July 17, 2012 - Bogus Fire Insurance Policy Lands Stockbroker In FINRA Hell
July 13, 2012 - Morgan Stanley Broker Barred For Bogus Restaurant Expenses
July 13, 2012 - A FINRA Member Firm In Name Only But Not Even That
July 12, 2012 - Former Wedbush Rep Wins Incentive Compensation Case
July 12, 2012 - Madoff Feeder Fund Fairfield Sentry Dispute Among First Through FINRA Arbitration
July 10, 2012 - Citigroup Wins FINRA Arbitration And Expungement As Public Customer Pulls A No-Show
July 9, 2012 - MetLife Manager Fined And Suspended In FINRA Life Settlement Case
July 9, 2012 - Time And Price Discretion Earns Stockbroker Time Consuming Suspension and Pricey Fine
July 6, 2012 - PNC Broker Exonerated In FINRA Customer Dispute But Saddled With Expungement Ordeal
July 6, 2012 - Supervisor Fined And Suspended Over Two Busted Apple Trades From 2008
July 6, 2012 - Replacement Insurance Policy Referral Fees Cost Stockbroker An Outside Business Activity Fine And Suspension
July 2, 2012 - Broker Fined And Suspended For U4 Tax Lien, Credit, and License Disclosures
June 28, 2012 - FINRA Wields Broom Behind A JP Morgan Chase Circus Elephant Of Theft And Deception
June 27, 2012 - Lehman Largely Wins A Promissory Note Collection Case In FINRA Arbitration
June 25, 2012 - Wells Fargo Registered Persons Victimized By Abandoned Customer Arbitration And Expungement Process
June 21, 2012 - Former Morgan Stanley Smith Barney Brokers Win $5 Million Employment Dispute Arbitration Award
June 20, 2012 - Former LPL Broker Fined and Suspended For Widow's Variable Annuity and Mortgage Activities
June 20, 2012 - FOREX Private Securities Transactions Earn Stockbroker Fine And Suspension
June 19, 2012 - Outside Restaurant Business Cooks Broker's FINRA Case With A Side Order Of A Fine And Suspension
June 18, 2012 - Fidelity Relationship Managers Win One,Lose One In FINRA Expungement Hearing On Settled Customer Complaint
June 14, 2012 - Employee Loses But Sort Of Wins Twilight Zone Promissory Note Arbitration Against Citigroup And Morgan Stanley
June 13, 2012 - Arbitrators Slam SunTrust's Legal Tactics In Non-Solicitation Case Against Former Employee
June 12, 2012 - Lehman Loses Another Promissory Note Collection Case
June 11, 2012 - Shocking Verdict In Morgan Keegan Arbitration Against Broker Who Exercised Discretion (Or Not)
June 11, 2012 - Fuggedabout Facebook Or MF Global, Get The Stockbroker With The Bouncing Checks
June 8, 2012 - A Double-Dip Costs Citigroup Customers Commissions And Fees
June 7, 2012 - Stockbroker's Friend, Cousin, And Ex-Wife Collide Into One Regulatory Mess
June 6, 2012 - FINRA Sanctions MetLife Manager In Elderly Client's Account Opening
June 6, 2012 - Commonwealth Stockbroker's Private Securities Transaction and Customer Loan Prove Boiling Frog Story
June 5, 2012 - Crumbling Marriage Collapses On Citigroup In Dispute Over Wife's Withdrawals
June 5, 2012 - Former LPL Broker Fined And Suspended For Outside Brokerage Accounts
June 4, 2012 - Crony Politics Of Congress Wants Crony Regulation Of Investment Advisers
June 4, 2012 - Notary Duped Into Signing Off On Insurance Loans Fined And Suspended By FINRA
June 1, 2012 - Congress Prepares To Sandbag Investors And Their Financial Advisers With More Wall Street Self Regulation
May 31, 2012 - FINRA Sanctions Broker For Marking Solicited Trades As Unsolicited
May 29, 2012 - FYI, FINRA Cites Small Firm For Alphabet Soup of AML,OBA,PST,and WSP
May 25, 2012 - Back To The Future For Barred Stockbroker In Federal Expungement Case
May 24, 2012 - NSF Checks Checkmate Stockbroker's Career
May 24, 2012 - Brokerage Firm Goes All In But Loses High Stakes Employment Arbitration Poker Game
May 23, 2012 - Former Merrill Lynch Colleagues Sue Each Other In FINRA Arbitration
May 22, 2012 - Wall Street Regulator FINRA Sings Kumbayah In Regulatory Fight Against Conflicts And Unsuitability
May 22, 2012 - Hubby Dips Into Wife's Retirement Account And She Successfully Sues Brokerage Firm
May 21, 2012 - FINRA Cites KeyBanc For Employees' Outside Brokerage Accounts
May 21, 2012 - Relationship Manager Barred Over Allegations Of Stealing Bank Customer's Funds
May 17, 2012 - E*Trade Settles Auction Rate Securities Case But The Product Keeps On Giving Grief
May 16, 2012 - E&O Fraud At FINRA Member Firm Leaves Brokers E&Owing
May 15, 2012 - Feds Slam Deutsche Bank But Next Day FINRA Nominates Executive To Its Board
May 15, 2012 - Arbitrators Award $150,000 Punitive Damages In Variable Annuities Case
May 10, 2012 - UBS Exposes Its Frivolous Briefs In $21 Million FINRA Customer Arbitration
May 10, 2012 - Undisclosed Customer Settlement Checks Move Broker Into Regulatory Checkmate
May 10, 2012 - FINRA Says It Looked And Quacked Like A Felony And Must Be Disclosed
May 9, 2012 - FINRA Rejects A New York State Of Mind When It Comes To New Jersey Annuity Signatures
May 9, 2012 - Lehman Brothers Loses Another FINRA Promissory Note Collection Case
May 7, 2012 - Brokerage Firm and Its President Get Parking Ticket From FINRA
May 5, 2012 - Borrowing From Customer Costs Stockbroker His Career
May 3, 2012 - FINRA Fines And Suspends Lawyer For Practicing Law
May 2, 2012 - Morgan Stanley To Pay Nearly $2.4 Million ETF Fine and Restitution
May 2, 2012 - UBS To Pay Nearly Nearly $2 Million ETF Fine and Restitution
May 2, 2012 - Citigroup To Pay Over $2 Million ETF Fine and Restitution
May 2, 2012 - Wells Fargo To Pay Over $2.7 Million ETF Fine and Restitution
May 2, 2012 - Wells Fargo Settles With Customer But Broker Wins Expungement
May 1, 2012 - A Persistent DWI Offender's Brokerage Career Is On The Skids
April 27, 2012 - Wells Fargo KO'd In Trainee Fee Case
April 27, 2012 - Ameriprise Employee Goes Down In Flames In Promissory Note Case
April 27, 2012 - Mickey Mouse, Springsteen, Hookers And Wall Street's Credit Cards
April 25, 2012 - FINRA Arbitrators Say Public Customer Claimant Grossly Misled Wachovia
April 25, 2012 - Former Employee Wages 4 Year Battle Over Form U5 Expungement
April 24, 2012 - Broker Impersonates Former 83 Year Old Client In Annuity Withdrawal Request
April 20, 2012 - Stockbroker Barred For Continuing Education Cheating
April 20, 2012 - Merrill Lynch Trainee Doctors Failed Scores And Tests FINRA's Patience
April 18, 2012 - FINRA Arbitrators Wrestle With Considerable Confusion In Wells Fargo Employment Case
April 17, 2012 - FINRA Arbitrator Finds Merrill Lynch Defamed Former Broker
April 17, 2012 - Broker Fined And Suspended For Equity Indexed Annuities and Whole Life Outside Business Activities
April 13, 2012 - For Some Reason, FINRA Arbitrators Award $2 Million To Broker For Something
April 12, 2012 - Four Warnings Brokers Miss When Settling With FINRA
April 12, 2012 - Allegations Of Intolerable Work Conditions Fail In Former Merrill Lynch Employee's Promissory Note Case
April 11, 2012 - Stockbroker Goes To Prison But Morgan Stanley Customers Snooze And Lose
April 10, 2012 - Wachovia Somewhat Stiffed by Stifel Nicholas In $7 Million Raiding Case
April 5, 2012 - Arbitrators Award Damages For Misleading and Incomprehensible Trade Confirmation
April 5, 2012 - Merrill Lynch Savaged By FINRA Arbitrators In Historic Employee Dispute
April 5, 2012 - Cambridge Legacy Securities Loses $1.5 Million FINRA Limited Partnership Arbitration
April 3, 2012 - Weed Whacker Krittibas Ray Strikes Again As Defunct Brokerage Firm Ordered to Arbitrate Customer Claims
April 3, 2012 - ICON Wins About $700,000 But Loses Injunction Against Former Employee In FINRA Arbitration
March 30, 2012 - Firm Submits Erroneous Trade But Sues UBS For Its Failure To Cancel
March 28, 2012 - Broker Fined and Suspended For Untimely Disclosure Of Felony For Unpaid Child Support
March 26, 2012 - Merrill Lynch Asks Court To Rule That Sleeping FINRA Arbitrator Engaged In Misconduct
March 23, 2012 - Eloquent Arbitration Decision Rules For Merrill Lynch In Pro Se Employee Promissory Note Case
March 23, 2012 - Broker Wins Expungement of Sleeping Dog Customer Complaint
March 20, 2012 - Judge Rakoff's Wall Street Zombies Arise In FINRA Citi Settlement
March 19, 2012 - Morgan Stanley Loses Rip Van Winkle Promissory Note Case Against Employee
March 16, 2012 - Three Lawyers Later, Claimant Loses Trust Case Against Morgan Stanley
March 16, 2012 - Edward Jones Sought Injunction and Damages from Former Employee Who Joined Morgan Stanley
March 15, 2012 - AXA Fined $100,000 For Not Axing Ponzi Broker Sooner
March 15, 2012 - Former Wachovia Employee Files $1.3 Million Forgivable Loan Arbitration Claim Against Firm
March 12, 2012 - Another Registered Person Loses FINRA Exam Waiver Battle
March 12, 2012 - Former Employer Seeks $12,000 in Damages against Employee Seeking $500,000
March 9, 2012 - Arbitrators Award Over $2 Million for Unsuitable Tenants In Common Real Estate Transactions
March 9, 2012 - Stanford Convicted But Plenty of Shame and Blame to Go Around
March 7, 2012 - The Old Client Phone Number and Email Address Switcheroo Backfires on UBS Broker
March 7, 2012 - Former Morgan Stanley Smith Barney Trader's $1 Billion Position Causes $15 Million Loss
March 6, 2012 - Wells Fargo and Former Employee Go Toe To Toe Over Promissory Note and Deferred Compensation
March 5, 2012 - Stockbroker Fined and Suspended for Failure To Disclose Bogus Auto Theft Report Misdemeanor
March 2, 2012 - TD Ameritrade Sued by Customer Over Failure To Exercise In-The-Money Options
March 1, 2012 - Raymond James Indie Office Managers Prevail Over Former Employee in FINRA Arbitration
February 29, 2012 - FINRA Arbitrators Grant Summary Judgment Against Claimant Employee in Citigroup Racial Discrimination Case
February 29, 2012 - Trading Away From His Brokerage Firm Gets Registered Person Fined and Suspended
February 28, 2012 - Wells Fargo Advisors Wins Trainee Fees Arbitration For $25,000
February 24, 2012 - Wachovia Gave Customer With GM Stock Problem The Old Shuffle
February 23, 2012 - Former Chase Investment Services Employee Wins Six-Figure Defamation Award
February 23, 2012 - FINRA Arbitrators Hit Kovack Securities With Punitive Damages for A Broker's Egregious Behavior
February 22, 2012 - Statutory Disqualification for Undisclosed Tax Liens Sustained by FINRA, SEC, and Federal Court
February 21, 2012 - Barred Stockbroker Seeks Approval As a Mortgage Loan Originator
February 16, 2012 - Arbitration Claimant Wins Case But Damages Smorgasbord May Have Hurt
February 15, 2012 - LPL Sued for $8 Million In Real Estate Investment Dispute
February 15, 2012 - Broker Suspended and Fined for Misrepresenting Variable Annuity Guaranteed Rate of Return
February 15, 2012 - FINRA Warns Stockbrokers To Kick The Tires On Private Placements Deals
February 10, 2012 - UBS Loses Million Dollar Promissory Note Arbitration Against Former Employee
February 8, 2012 - FINRA Fines and Suspends Client Associate For Altering IPO Forms
February 8, 2012 - E*Trade Loses Inverness Medical Options Arbitration But Gains Offset
February 7, 2012 - FINRA Finds A Lot Of Bull In A China Shop
February 6, 2012 - Wall Street Compliance Practices Come Under Scrutiny by FINRA and the SEC
February 2, 2012 - FINRA Sanctions Brokerage CEO For Delegating To Part Time Compliance Officer and FINOP
January 31, 2012 - RRBDlaw.com : Closing the calendar on FINRA's 2011 Cases of Note
January 29, 2012 - FINRA Hits Merrill Lynch With Historic $1 Million Fine For Circumventing Mandatory Arbitration During Collection of Employee Promissory Notes
January 26, 2012 - Branch Manager Suspended and Fined For Leaving Office Keys with Landlord
January 23, 2012 - Former Questar Employee Wins Over $3 Million in FINRA Defamation Arbitration
January 19, 2012 - FINRA Arbitrators Enjoin Brokerage Raid And Enforce Non-Compete
January 18, 2012 - Merrill Lynch Wins FINRA Mutual Funds Arbitration Involving Margin
January 18, 2012 - Banc of America Broker Caught Downloading and Emailing Client Info
January 10, 2012 - The Desperate Stockbroker and Her Father's Korean War Medals
January 10, 2012 - 11th Circuit Raises FINRA Due Process Dilemma in Busacca Appeal
January 6, 2012 - Discharged Wachovia Employee Wins Form U5 Expungement
January 4, 2012 - Arbitrators Say Deutsche Bank Securities Managing Director's Conduct Was Reprehensible
December 30, 2011 - 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 - Merrill Lynch Wins Solicitation Injunction Against Former Employee
December 21, 2011 - Offsetting Fouls In Customer Renege Arbitration About September 2008 Market Crash
December 20, 2011 - Stockbroker's Better Buy At Best Buy Leads to Industry Bar And Disqualification
December 16, 2011 - Wells Fargo Hit With Punitive Damages in FINRA U5 Defamation Case
December 15, 2011 - Mother And Daughter's Convenient Joint Account Leads to Odd Arbitration Win Against Wells Fargo
December 9, 2011 - A Lot of Greif Between Investment Bank Employer And Former Employees
December 7, 2011 - Former Bank of America Broker Suspended and Fined For NSF Checks and ATM Withdrawals
December 6, 2011 - Habla Espanol and No Finding of Misconduct in Chase / LPL Arbitration
December 2, 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 - Former UBS Broker Sues Firm For $3.8 Million in Deferred Comp and Unused Vacation Time
November 29, 2011 - UBS Goes After Former Broker for Three Promissory Notes
November 29, 2011 - FINRA CEO Ketchum's Dear Jon (Corzine) Moment
November 24, 2011 - FINRA Arbitration Claimant's "Short" Dog Won't Hunt
November 24, 2011 - Pelican Holdings, Fleming Endowment and Morgan Keegan: A Blow By Blow FINRA Arbitration
November 22, 2011 - Merrill Lynch Wins Five-Year FINRA IRA Arbitration Saga
November 21, 2011 - FINRA Arbitrators Award Over $5 Million To Former RBC Employee
November 18, 2011 - Former Schwab Employee Lost Defamation Arbitration But Employer Gets Slammed By Panel
November 17, 2011 - End the Politics of Wall Street Regulation: Decentralize FINRA and the SEC
November 16, 2011 - Raymond James Wins Attorneys' Fees In Florida FINRA Arbitration To Recover On Employee Promissory Notes
November 11, 2011 - Citigroup Stockbroker Wins Expungement Even Though Customer Was Paid a Settlement
November 9, 2011 - The Ghost of Bear Stearns Raised in $59 Million FINRA ARS Arbitration Against JP Morgan
November 8, 2011 - Did Someone At FINRA Do Corzine A Favor And Waive His Registration Requirements?
November 4, 2011 - Vote for David Sobel for FINRA's National Adjudicatory Council
November 3, 2011 - Unpaid $10,000 Casino Marker Leads to Stockbroker's Suspension and Disqualification
November 3, 2011 - The Wife Dies of Cancer, The Husband Has Alzheimer's - And Their Stockbroker Is Barred
November 2, 2011 - Bill Singer Breaks FINRA Story -- SEC Takes Self Regulatory Organization To Woodshed
October 27, 2011 - Vivus Lost Wages : BioPharma Company's FDA Denial Slammed Investor With Margin Call
October 26, 2011 - Citi Smith Barney Customer Sues Over 2008 Failure to Sell Lehman Shares
October 19, 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 - JonesTrading Seeks $12.4 Million Damages Against Nomura Securities
October 14, 2011 - Arbitrator Awards About One-Fifth of Training Fee Damages to Wells Fargo
October 13, 2011 - Forbes' Matt Schifrin Launches Online Dialog About FINRA And The Future of Wall Street Regulation
October 12, 2011 - Stockbroker Wins Defamation Arbitration Against Former Employer
October 12, 2011 - Lehman Suffers First Loss in FINRA Arbitration Collection of Promissory Notes
October 12, 2011 - A DWI Nearly Ends Stockbroker's Career
October 10, 2011 - Stockbrokers Sue To Recover Unpaid Commissions
October 7, 2011 - FINRA Loses Landmark Federal Appeals Case on Collection of Fines
October 7, 2011 - TIC-ed Off Customers Sue Over Tenants In Common Investment
October 6, 2011 - BREAKING NEWS: FINRA Loses Historic Appeal. Right to Collect Fines Curtailed
October 5, 2011 - Wells Fargo Broker Barred After $8.9 Million in FNMA and Freddie Mac Customer Settlements
October 4, 2011 - Stockbroker Barred For Submitting Fraudulent Hotel Conference Room Invoices
September 27, 2011 - Zombie Client Signed Annuity Document 20 Days After His Death
September 23, 2011 - Morgan Stanley Smith Barney Female Employee Suspended and Fined for Unauthorized Signatures
September 23, 2011 - A.G. Edwards Loses Training Fee Case to Pro Se Stockbroker
September 22, 2011 - Scottrade Exonerated For Inability to Deliver Suspended BCIT Shares
September 22, 2011 - Excessive Trading and Unauthorized Discretion In Elderly Clients' Accounts
September 22, 2011 - Misuse of Customer Data on Flash Drive Crashes Stockbroker's Career
September 22, 2011 - RRBDlaw updates now online. New FINRA monthly disciplinary cases analyzed by Bill Singer
September 21, 2011 - Fabricated Customer Statements Result in Felony Plea and Bar for Stockbroker
September 20, 2011 - Goldman Sachs Employee Fired, Fined, and Suspended for Personal Credit Card Expenses
September 20, 2011 - Public Customer Gets Legg Mason Fund Settlement From Ameriprise But Broker-Of-The-Day Exonerated
September 19, 2011 - Using Promissory Note Proceeds For Weed Whacker Doesn't Cut It With FINRA
September 16, 2011 - FINRA Bars Morgan Stanley Smith Barney Broker for Fabricating Emails
September 15, 2011 - Two Grave FINRA Arbitrations Involving Deceased Customers of Edward Jones and MSSB
September 14, 2011 - FINRA Fines and Suspends Broker For Role as Exhibitor at Dental Convention
September 9, 2011 - No Show Employee Arbitration Claimant Sanctioned in Raymond James Case
September 9, 2011 - FINRA's Un-explained Arbitration Decision Awards Nearly $1 Million to Former TD Ameritrade Employee
September 8, 2011 - Lien on Me. FINRA Cites Two Brokers For Untimely Lien Disclosures on U4
September 8, 2011 - Padded Expenses Gets Hartford Broker Barred -- But is it a double-standard?
September 7, 2011 - Fired RBC Customer Files Angry FINRA Arbitration
September 6, 2011 - Amending Form U4 for Felony Charges and Convictions: One Broker's Tortured Path to FINRA Disciplinary Action
September 5, 2011 - FINRA Arbitrators Award Millions Awarded in Elder Abuse Case
September 1, 2011 - Oppenheimer Hit With $1 Million Damages in FINRA Arbitration
August 31, 2011 - FINRA Arbitrators Sanction Citigroup for Delayed Currency Conversion of Loonie to US Dollar
August 30, 2011 - Neither a Borrower Nor A Forger Be, FINRA Tells Barred Broker
August 24, 2011 - ETRADE Broker Wins FINRA Flash Crash Exxon Arbitration -- Maybe, Sort Of?
August 23, 2011 - U5 Says "Discharged" But FINRA Arbitrators Say "Voluntarily Resigned"
August 23, 2011 - Farsi, Spanish, and English Cause Problems for Brokerage Firms
August 19, 2011 - August FINRA Disciplinary Case Update by Bill Singer
August 18, 2011 - Employee Wins U5 Wrongful Termination / Defamation FINRA Arbitration
August 16, 2011 - Wells Fargo / Wachovia Loses Slam Dunk FINRA EFL / Promissory Note Arbitration
August 15, 2011 - Fudging a Failing Exam Grade Earns FINRA Fine and Suspension
August 12, 2011 - Penson and Merrill Lynch Suffer Setbacks With Attorneys' Fees in FINRA Arbitrations
August 11, 2011 - Citigroup Global Markets Hit With $500,000 Fine in FINRA Failure to Supervise Case
August 10, 2011 - Due Diligence and Private Placements: FINRA's On a Rampage
August 9, 2011 - Bill Singer Supports the National Adjudicatory Committee Candidacy of David M. Sobel
August 5, 2011 - UBS Admonished for Unilateral Decision to Close Kalamazoo Office in FINRA Promissory Note Arbitration
August 4, 2011 - Employee Forgivable Loans (EFL) and Wall Street Promissory Notes (PN) Round-up
August 4, 2011 - Taking the Fifth At FINRA -- Not What You Might Think
August 2, 2011 - In a Consolidated FINRA Intra-Industry Employment Case, Arbitrators Blast Both Parties
August 2, 2011 - Away Accounts : Outside Brokerage Accounts Catching FINRA's Attention
August 1, 2011 - FINRA Slams Ops Mgr For Misuse of Credit Cards and Checks
July 26, 2011 - UBS Broker Wins FINRA Expungement After Customer Sues Over Lehman and Citigroup Losses
July 26, 2011 - Gusrae Kaplan Bruno & Nusbaum's Marty Russo Wins $8.1 Million FINRA Reit Arbitration
July 23, 2011 - Former WaMu Brokers Prevail in FINRA Arbitration Solicitation Case
July 22, 2011 - TWO Explosive "Street Sweeper" Blogs Now Online
July 21, 2011 - Pro Se Broker Claimant Wins FINRA Arbitration In Wrongful Termination Case
July 18, 2011 - FINRA Arbitrators Recommend Expungement of "Clearly Erroneous" Customer Allegations
July 14, 2011 - How Many FINRA Arbitrators Does It Take To Throw A Flag?
July 13, 2011 - Claimants' Non-Lawyer Representative Muzzled by FINRA Arbitration Panel
July 13, 2011 - Wells Fargo Wachovia Lose $7 Million Employee Whistleblower Case
July 11, 2011 - Pro Se Former Employee Beat Wells Fargo / Wachovia in FINRA Arbitration
July 11, 2011 - Citigroup Says it Overpaid Former Managing Director -- he disagrees in FINRA Arbitration
July 8, 2011 - FINRA Arbitrators Slam Merrill Lynch Professional Clearing With Massive Damage Award
July 7, 2011 - Merrill Hit With Delayed Discovery Sanctions in FINRA Customer Arbitration
July 1, 2011 - Ameriprise Forgery Case: The turtle of self regulation
June 30, 2011 - Selling Away. Failure to Supervise. Punitive Damages. Discovery Sanctions. All in one FINRA Arbitration
June 29, 2011 - Employer Sues Employee in Mirror-Image FINRA Arbitration
June 28, 2011 - $2 Million RBC FINRA Employment Arbitrations: Did Everyone Lose?
June 28, 2011 - The Art of Fine Tuning FINRA Arbitration Damages: The $75 Million Claim
June 27, 2011 - Individual Broker Wins FINRA Employment Arbitration Against Citigroup Global Markets
June 21, 2011 - Edward Jones Broker Wins Expungement in Settled FINRA Customer Arbitration
June 20, 2011 - Merrill Lynch Crushed In Promissory Note Case By Employee Seeking $13.2 in Damages
June 17, 2011 - Non-Profit FINRA Wants to Ring Up A Sale?
June 16, 2011 - FINRA Arbitrators Award $575,000 Punitive Damages to Defamed Broker
June 15, 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 - US Airways Takes Off With $15 Million Auction Rate Securities Victory in FINRA Arbitration
June 2, 2011 - Merrill Lynch Says Late Is Not Better Than Never
June 1, 2011 - Penson Faced Multi-Million Dollar Day-Trading Claim in FINRA Arbitration
June 1, 2011 - FINRA Arbitration Win for LPL in Promissory Note and Rep Agreement Case
May 28, 2011 - Morgan Keegan's FINRA Arbitration Settled -- sez who?
May 26, 2011 - Claimant Throws Kitchen Sink at UBS -- But Gets Flushed Down the Drain
May 26, 2011 - Merrill Lynch Arbitration Shows Unique Impact of Baby Boomers
May 24, 2011 - UPDATE: FINRA Runs Into Trouble. Forced to Take Down Its New Disciplinary Actions Online Database
May 20, 2011 - UPDATE: The Wells Fargo Broker Who Would’nt Give In to FINRA Bar
May 20, 2011 - Estate Sues BD and Broker Over Lawyer's Designation of Ex-Wife as IRA Beneficiary
May 17, 2011 - RRBDlaw: the May FINRA enforcement updates (first round now online)
May 16, 2011 - Mother Sues Merrill Lynch Over Daughter’s Guardianship
May 16, 2011 - The Train Leaves the Station for One Tardy FINRA Customer Claim
May 13, 2011 - Wells Fargo Broker Never, Never, Never, Never Gave In to FINRA's Bar for Not Responding
May 12, 2011 - FINRA Arbitrators Award Two Women Over $1 Million for Sexual Harassment
May 11, 2011 - Bill Singer Replies to SEC Commissioner Aguilar's Call For Boardroom Diversity
May 6, 2011 - UBS's Costly (or somewhat) Runaround of Client
May 2, 2011 - Miscommunication and Misunderstanding in Edward Jones FINRA Arbitration
May 2, 2011 - Wells Fargo Scrambles Clients' Nest Egg. Bill Singer on Marketplace (NPR)
April 29, 2011 - Piper Jaffray, Morgan Stanley, and an Employee Can't Seem to Settle Down
April 21, 2011 - A Battle Royal for Terminated Merrill Lynch Employees (and one wife)
April 21, 2011 - Wells Fargo Crushed in FINRA Retention Award Arbitrations
April 19, 2011 - Public Customers Take Citigroup to the MAT for $54 Million in FINRA Arbitration Damages
April 14, 2011 - On the Precipice: Morgan Stanley, Citigroup, and an Unhappy Broker
April 7, 2011 - Public Customer Throws in the Towel Against Former Morgan Stanely Stockbroker in FINRA Arbitration.
April 5, 2011 - Former Employee Settles Promissory Note Case with Morgan Keegan
March 31, 2011 - Fidelity and Morgan Stanley Smith Barney Settle FINRA Arbitration
March 28, 2011 - Bill Singer's Analysis of March FINRA Cases Now Online at RRBDlaw.com
March 23, 2011 - FINRA Arbitration: Veni, Vidi — but a split Vici.
March 14, 2011 - Wells Fargo / Wachovia Loses Stunning Retention-Award Case Against Former Employee
March 11, 2011 - Wachovia / Wells Fargo Loses Stunning Retention-Award Case Against Former Employee
March 9, 2011 - Registered Rep Magazine's "Street Legal" Column Now Online. The saga of a bankrupt broker
March 7, 2011 - FINRA Arbitration Claimant Stipulates to Defaming Former Employee
March 4, 2011 - Chase Investment Services showed "colossal lack of foresight and attention"
March 3, 2011 - RRBDlaw.com's monthly FINRA updates now online. Full analysis by Bill Singer
March 1, 2011 - UBS FINRA Expungement: Good news and bad news for unnamed stockbroker
February 23, 2011 - Claimant Sues RBC for $37 Million -- BUT FINRA Arbitration Panel Whacks Him for $1.8 Million
February 23, 2011 - Hughes v. Cantor Fitzgerald: Is there a winner?
February 18, 2011 - High Noon for 113 Former Lehman Employees
February 14, 2011 - An Open or Shut Forgivable Loan Case Vexes UBS
February 2, 2011 - Wells Fargo Loses Defamatory U5 / Promissory Note Arbitration
January 31, 2011 - Unnamed Respondent Broker Seeks Vindication in Settled Arbitration
January 27, 2011 - Thar Be Monsters -- FINRA Raiding Case Ends With Odd Ruling
January 26, 2011 - False Shuffle Trips Up Blackjack Players
January 18, 2011 - FINRA Arbitrators Hit Firm for Failure to Supervise
January 18, 2011 - This Little Piggy(back) Ran All The Way to Arbitration
January 6, 2011 - FINRA Arbitrators Hit Securities America with Punitive Damages in Medical Capital Notes Case
January 5, 2011 - UBS Gets Shellacked in Breach of Contract Case
January 3, 2011 - Invesco Arbitrates Termination of (Non-?) Employee
January 3, 2011 - ARS Gratia Artis? Brokerage Wins Auction Rate Securities Arbitration
January 3, 2011 - Morgan Stanley's Nervous 401k Client
December 28, 2010 - Bill Singer's Monthly FINRA Cases Now Analyzed and Online at RRBDlaw.com
December 22, 2010 - Wachovia Whacks Former Broker in Promissory Note Case
December 16, 2010 - FINRA Arbitrations: The Audacity of Hope?
December 15, 2010 - Bill Singer's Street Legal Column (Registered Rep Magazine) and Street Sweeper Column (Forbes) Now Online
December 2, 2010 - Investacorp and Ladenburg Thalmann Named in Multi-Million FINRA Employment Dispute
November 22, 2010 - The Week's Wall Street Stories from Bill Singer
November 20, 2010 - NEW FINRA Monthly Disciplinary Cases Now Online with Analysis by Bill Singer
November 19, 2010 - Bill Singer Comments on November FINRA Montly Disciplinary Cases. Now online at RRBDLaw.com
November 18, 2010 - Customer Loses FINRA Arbitration Over VALIC IncomeLOCK Annuity Option
November 10, 2010 - Ya Win Some, Ya Lose Some: Customers Sue Brokers Over Tax Bills.
November 8, 2010 - The Stockbroker and The Dead Baby's Stolen Identity
November 4, 2010 - Former Employee Wins Over $5 Million Against Sterne, Agee & Leach.
November 3, 2010 - Schwab Plays With Fire and Gets Burned in Intra-industry Arbitration
October 26, 2010 - Bartleby the Scrivener Sues Banc of America Investment Services (an esoteric literary reference!)
October 24, 2010 - Bill Singer's Analysis of New FINRA Cases Now Online
October 22, 2010 - Customer Sues Stockbroker But Later Says He Doesn't Blame Him
October 21, 2010 - Whistleblower Wins FINRA Arbitration
October 20, 2010 - Former Joint Producers Sue Each Other
October 18, 2010 - Take It Or Leave It -- FINRA Arbitrator Calls Wells Fargo's Conduct Unconscionable.
October 15, 2010 - Cowen's Faithless Servant -- FINRA Arbitration Panel Says Gimme a Break
October 12, 2010 - Major Anthony Nelson Rubs Lamp and Gets His Wish: Over $11 Million Arbitration Victory!
October 7, 2010 - Wife Defrauded By Husband's Forgeries Sues Citigroup
October 7, 2010 - FINRA Arbitration Panel Rejects Duty to Advise on Tax Consequences by Broker
October 6, 2010 - Churning: What it is and how it should be monitored
September 28, 2010 - FINRA Arbitration Panel Awards $1 Compensatory Damage Against Former Employee
September 27, 2010 - RRBDlaw.com: New FINRA Cases Online With Analysis by Bill Singer
September 24, 2010 - FINRA Panel Imposes Punitive Damages - Another Lost Generation for Wall Street Reform.
September 22, 2010 - Jesup & Lamont Loses FINRA Arbitration Over Defamation -- What Goes Round, Comes Round?
September 21, 2010 - Claimant Wins Expungement of Defamatory Disclosures at FINRA Arbitration
September 20, 2010 - Dead Man Talking
September 14, 2010 - Registered Rep. Magazine /
September 13, 2010 - $10.7 Million FINRA Arbitration Award Against Rodman & Renshaw Former Employee.
September 2, 2010 - Former Ameriprise Employee Says Firm Lied to Him -- and FINRA Panel Forgives Promissory Note Debt
September 1, 2010 - Former UBS Employee Settles With Firm and Obtains Expungement of U5
August 31, 2010 - Elusive FINRA Reform
August 28, 2010 - Wells Fargo / Wachovia Wins And Loses Against Former Employee
August 25, 2010 - Spousal Cases: Till FINRA Do Us Part?
August 24, 2010 - RRBDLaw.com: New FINRA cases online and analyzed by Bill Singer
August 20, 2010 - A Nasty Partnership Split
August 17, 2010 - A Mother and Son's Real Estate Deal Goes Sour.
August 16, 2010 - One FINRA Arbitration.Three Respondents. Three Different Outcomes.
August 16, 2010 - A Whopper of A Story (or should I say a Big Mac?)
August 13, 2010 - TIAA-CREF and Wachovia in 529 Plan FINRA Arbitration
August 11, 2010 - Morgan Stanley Agrees to $800,000 Research Report Fine
August 10, 2010 - UBS Loses $80 Million ARS Arbitration
August 4, 2010 - One Egregious, Punitive FINRA Arbitration and One Inexplicable FINRA Arbitration Award.
August 2, 2010 - You Snooze, You Lose -- FINRA Arbitration Deemed Too Old to Proceed
August 2, 2010 - Last Man Standing Gets An Expungement
July 30, 2010 - FINRA Panel Rules Against Wells Fargo / Wachovia -- but was it a victory or loss?
July 28, 2010 - FINRA Arbitration Case: The $21 Million Broker Recruiting Protocol Claim
July 26, 2010 - FINRA Regulatory Cases Analyzed by Bill Singer. Major SEC Case Explained. E*Trade Problems Disclosed.
July 22, 2010 - FINRA Arbitrator Orders Expungement of Defamatory U5
July 21, 2010 - New FINRA Monthly Disciplinary Cases Now Online and Analyzed at BrokeAndBroker.com
July 20, 2010 - FINRA Arbitration Panel Hits Losing Customer Claimants With Sanctions
July 14, 2010 - A Pro Se Respondent and a Lawyered-Up Respondent: Similar Cases -- How did they fare?
July 6, 2010 - Former Associated Persons Slam FINRA Member Firms in Arbitration.
June 30, 2010 - Broker Loses EFL / Promissory Note Arbitration But Wins Dramatic Counterclaim
June 24, 2010 - A Hobson's Choice for Pro Se Respondents in FINRA Arbitrations
June 24, 2010 - A Hobson's Choice For Pro Se Respondents in FINRA Arbitrations
June 21, 2010 - RRBDlaw.com: New June FINRA Cases Now Online and Analyzed by Bill Singer
June 16, 2010 - Somehow, Someday, Somewhere -- a FINRA Customer arbitration.
June 3, 2010 - FINRA Arbitrator Tosses Raymond James Case. Bloomberg's Susan Antilla Critiques SEC's Schapiro.
May 28, 2010 - Public Customer Wins FINRA Arbitration But Comes Out a Loser
May 26, 2010 - UBS Wins $800,000 Against Former Employee, Who Wins $300,000 Against UBS.
May 20, 2010 - An Inexplicable FINRA Customer Arbitration. RRBDlaw.com Cases of Note Now Online!
May 19, 2010 - Time for a FINRA Tea Party
May 12, 2010 - Giving FINRA the Silent Treatment -- And Getting Barred for It.
May 7, 2010 - Let's All Settle Down: Former Employer and Employee Work It Out At the Last Minute
May 6, 2010 - An Instructive Employee Promissory Note Case (FINRA Arbitration Case)
May 6, 2010 - Time for a FINRA Tea Party. Out With the Old. In With the New.
May 5, 2010 - GUEST BLOG: FINRA Should Use the Benefits of Selling NASDAQ and Merging with the NYSE (Chepucavage and Broy)
February 20, 2009 - February FINRA Cases of Note on RRBDLaw.com by Bill Singer
February 20, 2009 - GUEST BLOG: Regulatory Reform in the Obama Era. (Chepucavage and Broy)
February 19, 2009 - Richard Ketchum and FINRA: Time to Answer for his Past?
February 19, 2009 - BILL SINGER ENDORSES JAMES
February 10, 2009 - Can the SEC Continue to Oversee FINRA ? (By guest bloggers Broy and Chepucavage)
February 5, 2009 - Driving a Point Home: Stockbroker Registration
February 3, 2009 - As Woody Allen Said
September 16, 2008 - RRBDLAW.com: July FINRA Cases Analyzed by Bill Singer
August 6, 2008 - Did You Hear the One About the Dancer and the Broker?
July 29, 2008 - FINRA's Regulatory Mulligan: SEC Not Amused
July 22, 2008 - New FINRA Disciplinary Cases Analyzed by Bill Singer
July 16, 2008 - The One-Year Suspension that is a lifetime Bar
July 9, 2008 - Charging Commissions on No-Load Funds?!
June 12, 2008 - One Reader Writes In -- and persuasively.
June 2, 2008 - In Response to JoeDaBroker: Now or never
May 30, 2008 - Does FINRA have the integrity to do the right thing?
May 29, 2008 - Is the FINRA Dissident/Reform Movement Dead?
May 28, 2008 - FINRA and Lt. Col. Johnson Matter Appears Resolved!
May 12, 2008