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UPDATE: The SEC's Netflix/Reed Hastings Policy and @GaryGensler and @SECGov and the SIM Swap Hack
January 23, 2024
SEC Dismisses Attempt to Do Something About a FINRA AWC
August 14, 2023
A Lawyer Wearing Two Hats Raises the Ire of the SEC in Motion to Compel Production of Documents
July 27, 2023
A Not So Final Closing of the Purchase of a Broker Dealer
July 26, 2023
Court Denies Vacatur of Over $2 Million FINRA Arbitration Award Involving Disputed Customer Transfer and Asset Purchase Agreement
June 21, 2023
There's Something Happening Here at a FINRA Customer Arbitration; What It Is Ain't Exactly Clear.
June 14, 2023
The Six-Year FINRA and SEC Regulatory Saga of Craig Scott Capital
April 26, 2023
FINRA Arbitrators Award Damages Against Morgan Stanley In Case Alleging Customer Lacked Mental Capacity
April 11, 2023
Pro Se Registered Respondent A No Show At Arbitration Involving Cambridge Capital Group
April 10, 2023
GUEST BLOG: [In]Securities: No Silver Linings for Silver Edge: How Not to Sell Pre-IPO Funds by Aegis Frumento Esq
March 10, 2023
SEC No Longer Believable When It Comes To Whistleblower Award Denials
March 2, 2023
Intellivest Securities Hunts Down Raiders Who Allegedly Gutted The Brokerage Firm
December 12, 2022
Time to Overhaul SEC Whistleblower Program
December 5, 2022
FINRA Cites RBC Capital Market's Supervisory Review, Personnel Turnover, and Outdated Tech
November 1, 2022
FINRA Taxonomy News Release Isn't Newsworthy
October 28, 2022
Keeping Up With Kenny -- Not the Kardashians
October 12, 2022
A Lack of Finality: The Trevor Saliba Saga at FINRA and the SEC and Again at FINRA
October 10, 2022
SEC Hides Disqualification Waiver Order In High Profile Recordkeeping Release
September 28, 2022
Cuyahoga Gone in Appellate Ruling To Send Dispute to FINRA Arbitration
September 23, 2022
UPDATED: Stone Cold Day of Reckoning for FINRA and Self Regulation
September 12, 2022
GUEST BLOG: [In]Securities: Trading Cards as a Meditation: Are NTFs Securities? by Aegis Frumento Esq
September 9, 2022
A Lack of Finality: The Trevor Saliba Saga at FINRA and the SEC
September 6, 2022
Unsettling Settlement Puts FINRA's Board of Governors in Troubling Light
August 29, 2022
Georgia Court of Appeals Reverses Leggett v. Wells Fargo
August 3, 2022
Boustead Securities Survives Motion to Dismiss in Success Fee Dispute
July 13, 2022
FINRA Is Aligning Its MAP CAIF Grouping Model With Firm Tofu And Feedback -- or so it seems
April 21, 2022
FINRA Arbitration Claimant Asks Federal Court to Appoint Counsel
March 29, 2022
SEC Claims Review Staff Tortures Whistleblower With Denial of Eventual $14 Million Award
March 14, 2022
FINRA Arbitrators Award Over $2 Million In Disputed Customer Transfer and Asset Purchase Agreement
March 8, 2022
Native American Tribe Investment Portfolio Proves Costly for Purshe Kaplan & Sterling Investments
February 2, 2022
The Ex-Wife, the Ex-Husband Stockbroker, the Two FINRA Arbitrations, the Stale Case, the Default Case, and the Appeal
November 17, 2021
FINRA Takes Victory Lapse in Aegis Capital Regulatory Settlement
November 10, 2021
No-Show FINRA Member Firm Loses Customer Arbitration But Where is FINRA When It Comes To Collecting on the Award?
November 2, 2021
FINRA Arbitrators Find No Evidence For Customers' $10 Million UBS YES Claims
October 26, 2021
After Morgan Stanley Raised Serious Questions in Failed TRO Against Former Employee, The Parties Stipulate to Preliminary Injunction
October 19, 2021
Did SEC Permanently Bar Twice The Same Frivolous Whistleblower Claimant?
September 29, 2021
A Thought Piece on Risk from SEC Commissioner Caroline A. Crenshaw
September 28, 2021
SEC Permanently Bars Frivolous Claimant from Whistleblower Program
September 15, 2021
The Unsecured Convertible Note, The FINRA CMA, The Pro Se Plaintiff, The Federal Complaint, and the Legal Clinic
August 17, 2021
To Err Is Human. To Fine And Suspend Is FINRA
August 12, 2021
Morgan Stanley Raises Serious Questions in Failed TRO Against Former Employee
August 11, 2021
FINRA Sanctions CCO/AMLCO Over Microcap Red Flags And Private Placement Disclosures
July 21, 2021
GUEST BLOG [In]Securities: Tell Me Lies by Aegis Frumento Esq
July 9, 2021
The SEC Says Sponsored Research Didn't Disclose It Was Paid For
July 1, 2021
Veteran Journalist Susan Antilla Discomforts Wall Street Over Racism
June 22, 2021
Native American Tribe's Investment Portfolio Proves Costly for Purshe Kaplan & Sterling Investments
June 9, 2021
The Vanguard Customer Didn't Ask, Didn't Listen, But The Firm's Voicemail Sucks
May 20, 2021
Federal Court Cites Confusion Of Ray Jay's Many Raymond Jameses
May 5, 2021
GUEST BLOG [In]Securities: Singin' the Varsity Blues, Part 3: Walkin' That Lonesome Valley by Aegis Frumento Esq
March 12, 2021
Vanguard Compliance Manager Submits Altered and Fabricated Documents to FINRA
March 3, 2021
The Saga of FINRA Versus Kimberly Springsteen-Abbott
March 1, 2021
Rowing on the SEC's Whistleblower River of Denial
February 23, 2021
GUEST BLOG [In]Securities: Instant Karma By Aegis Frumento Esq
February 19, 2021
NEWSFLASH: FINRA Observes Bad Actors In the Markets
February 11, 2021
Federal Court Grants Summary Judgment in Racial Discrimination Case Involving FINRA BrokerCheck
February 8, 2021
FINRA Fines and Suspends Rep for Taking or Not Giving A Crap
January 19, 2021
GUEST BLOG [In]Securities: No-Hopers, Jokers and Rogues By Aegis Frumento Esq
January 8, 2021
GUEST BLOG [In]Securities: Sometimes, a Man of Peace By Aegis Frumento Esq
December 11, 2020
The LPL Stockbroker, The Customer Lawsuit, The Expungement Arbitration, and The SLAPP Lawsuit
December 1, 2020
Management of Native American Tribe's Investment Portfolio Prompts FINRA Bar
November 24, 2020
Identities of SEC Whistleblower and Respondent Bank Outed
November 12, 2020
Permanent Bar Proves Less Than Permanent As SEC Approves Return to Industry
October 29, 2020
California Court of Appeal Holds Its Ground After Rehearing Tilkey v. Allstate
October 28, 2020
NYS Appellate Division Hands Defendants Setback In Lawsuit with Brummer and FINRA
October 22, 2020
FINRA Fines and Suspends Merrill Lynch Rep Over Apartment Rentals
October 14, 2020
FINRA Arbitrators Find Customer Complaint Made Virtually No Sense During Virtual Hearing
August 19, 2020
UPDATE: Ir-Rationale FINRA Merrill Lynch EFL Arbitration Decision Cited By Tax Court
August 10, 2020
Statistical Voodoo in the 2020 FINRA Industry Snapshot Report
August 3, 2020
Only One Litigant Shows Up For the FINRA Schoolyard Fight
July 27, 2020
The Walls Came Down Between Research and Investment Banking
July 8, 2020
Troubling Disconnect and Lack of Appropriate Explanation Found in Scapegoat Defamatory Form U5 FINRA Arbitration
June 1, 2020
Market to Hit New Highs, Shut Down Was An Historic Mistake Says Professor Jeremy Siegel
May 27, 2020
Federal Court Cites Confusion of Ray Jay's Many Raymond Jameses
May 4, 2020
FINRA Baseball Caps, Rice Krispies Treats, Hiring Spree, and ZOOM OTRs
May 1, 2020
Damages Awarded in Form U5 Defamation Case Against Allstate
April 28, 2020
Federal Courts Consider Disturbing FINRA Customer Arbitration Decision
April 17, 2020
No Membership Port In A Regulatory Storm For Newport Coast Securities
April 7, 2020
The Pen Is Mightier Than The Sword But Don't Bring Either Into A FINRA Test Center
March 18, 2020
Sexual Bondage, Videotapes, Divorce, Criminal Charges, Revenge Porn and FINRA
February 26, 2020
Wells Fargo Settles Criminal and Civil Sales Practices Cases
February 24, 2020
The Saga of FINRA Versus Kimberly Springsteen-Abbott
February 10, 2020
Guest Blog: The 10 Warning Signs of a Crypto Scam by Jesus Cedeno
February 6, 2020
FINRA Arbitrator Invokes Ineligibility Sua Sponte To Bar Expungement
February 3, 2020
[In]Securities Guest Blog: Born to be Wild by Aegis Frumento Esq
January 9, 2020
[In]Securities Guest Blog: Lawyers, Guns and Money by Aegis Frumento Esq
December 12, 2019
Synapse Financial Technologies Sued For Harassment, Discrimination and Retaliation
December 10, 2019
[In]Securities Guest Blog: Everybody Knows by Aegis Frumento Esq
October 31, 2019
Oral Contract Propels Lynx Capital Into Trading Black Hole
October 28, 2019
[In]Securities Guest Blog: Singin' the Varsity Blues, Part 2: Whose Intentions Are Good by Aegis Frumento
October 3, 2019
FINRA's JPM Omelet Ends With Egg On the Regulator's Face
September 17, 2019
Federal Court Grapples With Compliance Officer's Whistleblowing to FINRA
August 14, 2019
District Court Denied Morgan Stanley Injunction In Non Solicitation Case
August 9, 2019
GUEST BLOG: Standing on the Moon by Aegis Frumento Esq
July 18, 2019
This Is Not A Pipe. This Is Not A Final, Appealable Order
July 1, 2019
GUEST BLOG: Being Evil by Aegis Frumento Esq
June 6, 2019
SEC Acts In the Public Interest And Renders $3 Million Whistleblower Award
June 4, 2019
Federal Court Remands SEC's Willfulness Findings in Robare Form ADV Case
May 1, 2019
GUEST Blog: The Strangled Cries of Lawyers in Love by Aegis Frumento Esq
April 18, 2019
UBS Wins EFL Arbitration On Wall Street With No Name
April 17, 2019
SEC Whistleblowers Blow Their Own Whistles Too Late For Awards
March 12, 2019
Morgan Stanley Female Rep Survives Former Advisor Program Arbitration
March 11, 2019
GUEST BLOG: Weird Apple Pickings by Aegis Frumento Esq
February 28, 2019
The Apple of My Ire
February 18, 2019
Innocent Stockbroker Lost in Never-Neverland Wins FINRA Expungement
January 28, 2019
GUEST BLOG: Who Run the World? by Aegis Frumento Esq
January 24, 2019
Unstrained Mercy Gently Rains Down After FINRA Bar
January 4, 2019
Ir-Rationale FINRA Merrill Lynch EFL Arbitration Decision Cited by Tax Court
December 31, 2018
Scottsdale Sues Rep For Contacting FINRA But FINRA Bars Him For Not Testifying Against Firm
December 26, 2018
Buyer's Remorse Over Industry Bar Prompts Epic SEC Appeal
November 7, 2018
GUEST BLOG: Here Be Dragons by Aegis Frumento Esq
November 1, 2018
Public Customer, Brokers, and Brokerage Firm Spit Nails, Eat Lightning, and Crap Thunder
September 24, 2018
Chancery Court Denies TRO After Alleged Defamation to SEC and FINRA
August 20, 2018
$5 Million Awarded In FINRA Customer Arbitration. Now Let's Beat the Dead Horse
August 17, 2018
GUEST BLOG: A Trillion Reasons By Aegis J. Frumento, Esq.
August 16, 2018
Mean Spirited FINRA Must Respect Membership Median
August 10, 2018
The Greek Yogurt Justice of Strained FINRA Mercy
August 8, 2018
AAA Arbitrator Disclosures Upend JPMorgan Chase Bank Employment Lawsuit
August 6, 2018
The 93 Year Old Customer with Dementia, The Guardian, The Stockbroker, and the Compliance Officer
July 30, 2018
Magic Moments Dazzle In Legend-ary FINRA Customer Arbitration
July 27, 2018
Customer and Brokerage Firm Agree: I Wuz Robbed!
July 1, 2018
BREAKING NEWS: Lucia v. SEC / Supreme Court Finds SEC ALJs Unconstitutional
June 21, 2018
No Show No Way No How Public Customer FINRA Arbitration
May 15, 2018
FINRA Hardship Waiver Hard To Find
May 4, 2018
You Hear The One About The FINRA Arbitration Involving The Stockbroker With 36 BrokerCheck Disclosures?
April 26, 2018
FINRA Humiliated In Federal Court Arbitration Appeal
March 26, 2018
Federal Court Sustains FINRA / SEC Over CEO Reckless Disregard of Net Cap Rule
March 12, 2018
Customer Appeals Wells Fargo Arbitration Loss To Federal Court
February 21, 2018
GUEST BLOG: The Department of Justice's Coming Out Party by Darrell Whitman
February 6, 2018
FINRA Sanctions Charitable Remainder Trust Pitch
January 22, 2018
FINRA Firm Sues for $5.6 Million in Unfair Competition Arbitration
January 18, 2018
I Can't See Clearly Now In Morgan Stanley FINRA Arbitration
January 10, 2018
FINRA Horse With No Name Named
January 2, 2018
Has FINRA Just Threatened To Shut Down Wall Street's Fantasy Leagues and Office Sports Pools?
December 22, 2017
FINRA Arbitrator Holds Public Customer Claimant In Contempt
December 13, 2017
DOL Whistleblower Darrell Whitman Files Emergency Request with US Office of Special Counsel
November 24, 2017
Spoofing Email Sends Payment To Minneapolis, Shanghai, and Bremen
November 21, 2017
FINRA Tackles Insurance Claim Allowable Assets. But Is It Relevant?
November 3, 2017
BREAKING NEWS: SEC Loses Dramatic CLO Case Against Tilton and Zohar
September 27, 2017
TD Ameritrade Acquires Scottrade Subject To Outdated NASD Rules
September 21, 2017
The Elderly and Blind Customer, The Stockbroker, The Joint Account, and 2 Apartments
September 14, 2017
RBC Stockbroker Father Died and His Son Inherits Unhappy Customer
September 12, 2017
GUEST BLOG: A FAILURE OF ACCOUNTABILITY: Wells Fargo Fraud Goes Unanswered As Washington Dithers by Darrell Whitman
September 5, 2017
Federal Prosecutors Throw In Towel Against Benjamin Wey
August 9, 2017
Bond Trader Barred by FINRA Wins Arbitration For Unpaid Wages
July 26, 2017
Benjamin Wey Wins Suppression Order In Securities Fraud Criminal Case
June 19, 2017
SEC Issues Historic Stay of ALJ Initial Decisions
May 24, 2017
Customer Loses $6.6 Million VirnetX Case Against JP Morgan
May 11, 2017
ALJ Weighs Dilemma of Sanctions Versus Punishment For Transfer Agent
May 3, 2017
FINRA's Three Handed Monster of a Settlement
April 25, 2017
Casino Bets Fade Investors Retirement Savings
April 5, 2017
Real Estate Flipper Sued For Investment Fraud
February 8, 2017
Google Subpoena Withdrawn in Brummer v. Wey Defamation Case
February 7, 2017
Subpoena Served on Google in Brummer v. Wey Defamation Case
January 31, 2017
FINRA NAC Member Brummer Files Amended Defamation Complaint
January 19, 2017
SEC Opts For Intercircuit Nonacquiescence
January 9, 2017
New Cars and Used Arbitrations
December 7, 2016
Wage Garnishments Are FINRA Smoke Signals
November 1, 2016
Champerty Found In $209 Million Notes Purchase by Cayman Shell from German Bank
October 31, 2016
SEC Sends Second Valentine Message Not Filled With Love
October 28, 2016
FINRA Cites Unfair ACAT Charge And Slow Transmittal of Funds
October 19, 2016
SEC Settles Wrap Fee Cases With Robert W. Baird and Raymond James
September 8, 2016
SEC Put Writing and Swap Case Slogs To Federal Courts
July 12, 2016
BREAKING NEWS: 2nd Circuit Delivers Blow to Tilton Appeal
June 2, 2016
Wordless Songs and the Sounds of Crickets on Wall Street
May 27, 2016
Half Baked Apple REIT Case Dismissed Against David Lerner Associates
May 5, 2016
UPDATE: Net Capital Violations Become Federal Criminal Case
March 23, 2016
Rochdale and Pershing Slugfest In $45 Million Rogue Trader FINRA Arbitration
March 9, 2016
SEC Cites Stockbroker Over Confidentiality of Inherited Accounts
March 2, 2016
UPDATE: READ FULL-TEXT Apple Inc Motion To Vacate
February 25, 2016
You Hear The One About The Bleeding Guy in the Hospital Who Shot Himself?
February 25, 2016
FULL TEXT Motion to Compel in Farook / Malik iPhone Case
February 19, 2016
UPDATE:Brokerage CEO Sentenced to Prison in Net Capital Case
February 19, 2016
UPDATE: Pro Se Respondent Battles SEC to Standstill
February 10, 2016
Pro Se Respondent Battles SEC Bar To Standstill
January 20, 2016
SEC Reversed ALJ But Federal Court Reverses SEC
December 21, 2015
Digital Double Dip Tried With Wall Street Paychecks
December 11, 2015
Net Capital Violations Become Federal Criminal Case
November 12, 2015
CASE IN POINT with Bill Singer. GUEST: Martin Kaplan, Esq. on The Future of Smaller Broker Dealers
October 27, 2015
EMPLOYMENT TUESDAY at BrokeAndBroker.com Blog CASE IN POINT Posts New Episode
October 27, 2015
CASE IN POINT with BILL SINGER with guest Corporate Finance Lawyer Lawrence Nusbaum
October 20, 2015
UPDATE: Polygraph Expert Says It Ain't Lying. It's Nervousness
September 28, 2015
UPDATE: Former Stockbroker Sues FINRA Over Online Disclosure of 18 Year Old Settlement
August 7, 2015
Bond Parking For Net Capital Benefit Disqualifies Brokerage Executive
July 30, 2015
Morgan Stanley Sex Discrimination Arbitration Ends In Federal Court
July 29, 2015
Lost Lavatory Laptop Lands Sterne Agee In Crapper
June 1, 2015
Polygraph Expert Says It Ain't Lying. It's Nervousness
May 15, 2015
A Video Tribute to B.B. King
May 15, 2015
SEC Whistleblower Program Is A Black Hole Of Despair
April 9, 2015
BREAKING NEWS Supreme Court Vacates / Remands Omnicare Registration Statement Case
March 24, 2015
SEC Grants FINRA An Extraordinary Voluminous Extension
March 19, 2015
SEC Declines To Stay FINRA Bars Pending Appeal
March 11, 2015
SEC Operation Shell Expel Drains Reverse Merger Cesspool
March 2, 2015
Former Stockbroker Sues FINRA Over Online Disclosure of 18 Year Old Settlement
February 19, 2015
Stockbroker Selfies Are Regulatory Negatives
February 12, 2015
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