It's been a busy week at RRBDlaw.com, the BrokeAndBroker Blog, Forbes.com, and Huffington Post for Bill Singer. If you missed any of our stories, here are the links:
Bill Singer's Monthly FINRA Disciplinary Cases Review at RRBDlaw.com:
"Street Sweeper" at Forbes.com: The Lehman Collection Case
Bill Singer's Huffington Post Blog:
BrokeAndBroker.com
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
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