Then there was this really, really bizarre video posted on my pal Josh Brown's "Reformed Broker" website. I was figuring that, hey, what the hell, how about I just post the video (you know, like steal it from Josh but take all the credit)? Then I realized it was the holiday season and all and who the hell wants to screw around with that Karma, right? So, instead of taking all the credit, I've done the right thing (someone pinch me here, did I just say that I did the right thing?) and here's the link to Josh's site. Trust me (says the lawyer).
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