Maybe it's the upcoming Thanksgiving holiday next week. Maybe a lot of prosecutors and regulators buckled down yesterday and cleared their desks. Maybe it's just the confluence of the stars in the heavens. Whatever the cause, we sure as hell got a lot of industry news today and, as such, we're pre-empting the usually brilliant (and at times mesmerizing) commentary from our publisher Bill Singer, Esq., and offering you links to our companion online publication the Securities Industry Commentator (which, truth be told, is often brilliant in its own right and has often risen to mesmerizing heights).
It would have been an easy bit of adjudication by a FINRA arbitrator to find that a now-barred rep was the bad guy, that he victimized his clients and... Read On
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