An irreverent Wall Street Blog
by Bill Singer
by Bill Singer
Topic List for Settlement (20 results)
- Broker Hits Trifecta With Conversion, Borrowing, and Undisclosed Settlement
May 13, 2013 - MetLife Securities Unsettling Customer Settlements
February 8, 2013 - Lovebird Stockbroker Absconds With Girlfriend Customer's Investment
January 11, 2013 - A Stockbroker Uses Personal Emails And Unparalleled Yardstick
December 19, 2012 - Merrill Lynch Settles Customer Suitability Case Despite Apparent Profitability
December 14, 2012 - Settled Stop Loss Order Is Loss For Stockbroker
November 6, 2012 - Stockbroker Undone By Email Trail Of Undisclosed Customer Settlement
September 18, 2012 - FINRA Settlement Attacked By Barred Respondent As Misstating Facts
July 17, 2012 - MetLife Manager Fined And Suspended In FINRA Life Settlement Case
July 9, 2012 - FINRA Wields Broom Behind A JP Morgan Chase Circus Elephant Of Theft And Deception
June 27, 2012 - Former LPL Broker Fined and Suspended For Widow's Variable Annuity and Mortgage Activities
June 20, 2012 - Full video of May 17, 2012 House Financial Service Committee Settlement Practices Hearing
May 18, 2012 - Undisclosed Customer Settlement Checks Move Broker Into Regulatory Checkmate
May 10, 2012 - Four Warnings Brokers Miss When Settling With FINRA
April 12, 2012 - Judge Rakoff's Wall Street Zombies Arise In FINRA Citi Settlement
March 19, 2012 - SEC Files Historic Appeal of Judge Rakoff's Citigroup Settlement Rejection
December 16, 2011 - Judge Rakoff Rejects SEC's Settlement With Citigroup. Bill Singer's In-Depth Analysis.
November 30, 2011 - Morgan Keegan's FINRA Arbitration Settled -- sez who?
May 26, 2011 - Former Employee Settles Promissory Note Case with Morgan Keegan
March 31, 2011 - Morgan Stanley Agrees to $800,000 Research Report Fine
August 10, 2010