Thanks to all of you for contacting me and asking about how we're all weathering Hurricane Sandy. The NYC Metro area is, well, what else can I say? It's a disaster. With few exceptions, folks are homeless, powerless, foodless, and cranky as hell but, in keeping with these massive tragedies, most of those in the storm's path are hangin' in there, making due, as best as possible.
The FINRA Regulatory Mule Kicks Defrauded Customers In the Head (BrokeAndBroker.com Blog) https://www.brokeandbroker.com/6852/finra-anderson-hard... Read On
In today's Blog we got a FINRA regulatory decision, a state court judgment, a bankruptcy, and a federal court action. As the legal matters now stand, ... Read On
When considering an appeal questioning FINRA's denial of an expungement request, the SEC seems to have approached its deliberation as a cat toying wit... Read On
A public customer filed a FINRA Arbitration Statement of Claim against Wells Fargo Advisors and asked for no less than $100,000 in damages. The arbitr... Read On