I regularly cover FINRA U4 criminal disclosure cases in my Forbes' "Street Sweeper" column. If you are a registered person who has recently been arrested for, charged with, pled to, or been found guilty of a criminal matter, please see these recent articles for guidance on how these issues impact your registration and filing obligations:
The Report of the Independent Review of FINRA's Dispute Resolution Services -- Arbitrator Selection Process (June 28, 2022) https://www.finra.org... Read On
A FINRA Panel of Arbitrators found Citigroup Global Markets, Inc. ("CGMI"), Citigroup, Inc., and Citibank, N.A. guilty of discrimination, harassm... Read On
BrokeAndBroker.com Blog publisher Bill Singer Esq. is no fan of non-solicit/non-compete provisions. Sure, there could be . . . there are . . . compell... Read On
GUEST BLOG [In]Securities: Jive Talkin': The SEC Busts a Braggin' Broker by Aegis Frumento Esq (BrokeAndBroker.com Blog)https://www.brokeandbroke... Read On
[In]Securities a Guest Blog byAegis J. Frumento, Partner, Stern Tannenbaum & BellJive Talkin': The SEC Busts a Braggin' Broker Let's start... Read On
BrokeAndBroker.com Blog publisher Bill Singer is a fairly dyspeptic fellow. Most days, he's in a bad mood. Other days, he's in a worse mood. As to try... Read On