FINRA Wins Scottsdale Capital Advisors Motion To Dismiss
This is an update of "Scottsdale Sues FINRA In Edgy Effort To Halt Disciplinary Case" (BrokeAndBroker.com Blog, March 28, 2016) READ
Female Completed Continuing Ed For Male Supervisor
To say that a recent FINRA regulatory settlement - or two settlements, to be precise - perplexes me would be a gross understatement. All of which prompted today'sBrokeAndBroker.com Blog, which you may call a diatribe, jeremiad, tirade, or angry critique. However you view my commentary, consider the facts for yourself and feel free to draw your own conclusions. READ
The 2015 Flash Crash is the Wall Street gift that keeps on giving. In today's blog we got a FINRA arbitration and two federal lawsuits. Then we got sp... Read On
Schwab Intelligent Portfolios ("SIP") was advertised as a robo-adviser that didn't charge advisory fees; however, from March 2015 through November 201... Read On
GUEST BLOG [In]Securities: Highwaymen: The SEC Pulls Off a Brinks Heist by Aegis Frumento Esq (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/... Read On
[In]Securities a Guest Blog byAegis J. Frumento, Partner, Stern Tannenbaum & BellHighwaymen: The SEC Pulls Off a Brinks HeistAside from pirat... Read On
The Report of the Independent Review of FINRA's Dispute Resolution Services -- Arbitrator Selection Process (June 28, 2022) https://www.finra.org... Read On