An irreverent Wall Street Blog
by Bill Singer

Weekend Update by Bill Singer of BrokeAndBroker.com

May 16, 2013

The $2.6 Million Question In Goldman Sachs Suitability Arbitration
FINRA arbitration Decisions tend to be unanimous, but, with increasing frequency, we are seeing decisions by two of three arbitrators -- and ther...Read On
Public Customer Wins Messy Private Placement Arbitration
In a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in November 2011, Claimant Process Engineering Services as...Read On
Blank Forms Jam Up Broker In Annuity Sales
Time and time again I have admonished registered persons about the dangers of using the old blank form short-cut. And, time and time again, I report a...Read On
2nd Circuit Says Patel Unfitness Factors Still Valid
In recent years, more individuals have been disqualified from service as an officer or director of a public customer based upon judicial findings of "...Read On
The International Bank Trade That Was Too Good To Be True
I dunno what it is with some folks but once you roll out the words "international" and "bank" and talk in hush tones about a prime bank note or a trad... Read On
Botnet Pump And Dump Ends With Prison
Starting as early as May 2008 and continuing through February 2009, Christopher Rad, Cedar Park, TX, James Bragg, Chandler, AZ, Doyle Scott Elliott, J... Read On
Former Merrill Lynch Broker Plagiarizes Research Reports
In any profession, the good ones always seem to go the extra mile. Sometimes, however, those long distance runners may turn out to be Rosie Ruiz. &nbs... Read On
Cantor Fitzgerald Defends $13 Million Wrongful Termination Suit
In a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in September 2011 and amended thereafter, Claimant Teevan ...Read On
Did Preet Bharara Blink In The Fight Against Insider Trading?
Another insider trading case goes to the jury and another defendant is now headed off to pay his debt to society.  Veteran Wall Street regulatory... Read On
Broker Hits Trifecta With Conversion, Borrowing, and Undisclosed Settlement
Although a trifecta in horse racing is a wonderful thing to win, when dealing with Wall Street regulators, stockbrokers ought not be betting their car... Read On
Chase Customers Targeted In Signature Card Scheme
With troubling frequency, BrokeAndBroker.com has been reporting about regulatory problems bedeviling securities firms with bank affiliates -- particul... Read On
EMPLOYMENT TUESDAY at BrokeAndBroker.com
EMPLOYMENT TUESDAY AT BROKEANDBROKER.COMVisit the BrokeAndBroker Employment Page BrokeAndBroker.com JobsIf you are an employer seeking job c... Read On
Supreme Court Says Bankruptcy Defalcation Must Be More Than Merely Reckless
On the heels of the Great Recession, disputes involving discharge in bankruptcy have taken on greater importance -- particularly amid allegations of f... Read On
Suitability Arbitration Raises Questions About FINRA AWC
In this FINRA arbitration, public customers were incensed over their inability to reach their stockbroker to discuss their unhappiness with what they ... Read On

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