An irreverent Wall Street Blog
by Bill Singer

Your Memorial Day Reading from BrokeAndBroker

May 26, 2011

Morgan Keegan's FINRA Arbitration Settled -- sez who?
May 26, 2011
In a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in December  2009, Claimants asserted causes of actio... Read On
Claimant Throws Kitchen Sink at UBS -- But Gets Flushed Down the Drain
May 26, 2011
In a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in October 2008, Claimant Charles Churchill asserted the f... Read On
Getting the Business from BizRadio
May 26, 2011
On May 20, 2011, in Securities And Exchange Commission v. David Gordon Wallace, Jr. And Costa Bajjali (SD Texas, 11-CV-1932, May 20, 2011), the SEC fi... Read On
A Matter of the Heart: Did FBI Agent Fall for Confidential Source?
May 26, 2011
On May 17, 2011, a federal indictment was unsealed in federal court in Manhattan, New York, charging Federal Bureau of Investigation ("FBI") Speci... Read On
Wall Street Fraud: Hidden in the Shadows
May 26, 2011
I am a former Wall Street regulator who was employed as an attorney by two self-regulatory organizations. I have also spent much of the past two d... Read On

LPL Wins FINRA Arbitration Collection on Note and Rep Agreement

In a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in June 2010, Claimant LPL asserted causes of action for the breach of a

  • Term Commitment Note dated August 14, 2008 ("Note"); and
  • Representative Agreement ("Agreement"). 

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