An irreverent Wall Street Blog
by Bill Singer
by Bill Singer
Topic List for Finra (2108 results)
- Federal Circuit Court Says Price Isn't Right In UBS Whistleblower Retaliation
June 7, 2023 - Branch Manager and FINRA Fail to See Red Flags of Unsuitability Involving Senior Customers
June 6, 2023 - FINRA Took Wells Fargo Stockbroker Outback to a Bar and SEC Says It's The Last Round
June 1, 2023 - SEC Orders FINRA to Raise Its Arbitration Forum Gate For Expungements
May 30, 2023 - Light Bulbs, Coffee Cakes, and FINRA's Regulation of Stockbrokers Designated As Estate Beneficiaries
May 25, 2023 - FINRA Pulls Its Punches In Felony Non-Disclosure Settlement
May 22, 2023 - FINRA Fines and Suspends Rep For Borrowing from Friend During Covid Pandemic
May 18, 2023 - JP Morgan Caught In The Middle of Dueling Address Changes in Customers' Divorce
May 15, 2023 - FINRA Board of Governors Fails to Confront Goldman Sachs $215 Million Gender Discrimination Settlement
May 10, 2023 - SEC Says No Second Bite of FINRA Expungement Apple
May 9, 2023 - The Fair But Unsatisfactory FINRA Arbitration Hearing
May 8, 2023 - Securities Industry Commentator by Bill Singer Esq
May 5, 2023 - A Call for Boycott: FINRA Board of Governors' Cowardly Silence Becomes Thunderous
May 1, 2023 - FINRA Arbitrator Dismisses 21 Year Old Claim Against Citigroup Global Markets
April 28, 2023 - The Six-Year FINRA and SEC Regulatory Saga of Craig Scott Capital
April 26, 2023 - FINRA Arbitrators Checkmate SunTrust With Punitive Damages for Misuse of Rep's Name and Picture
April 24, 2023 - FINRA Bars former Securities America Rep For Conversion
April 21, 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 - In 2023 FINRA Settles With Goldman Sachs Over Mismarked Short Sales Dating Back to 2015
April 5, 2023 - FINRA Arbitration Award Gives Us A Case of Gas From Chipotle Bean Burrito Puts
April 3, 2023 - FINRA Doesn't Bank On It When It Comes To Wife Of Former UBS Employee
March 27, 2023 - GUEST BLOG: [In]Securities: Wanting to Break Free: The Delaware Chancery Court Strikes Down Cantor Fitzgerald's Non-Compete Clauses by Aegis Frumento Esq
March 24, 2023 - SEC Tells FINRA to Raise the Gate For Ineligible Expungement Case
March 23, 2023 - Financial Professionals Coalition, Ltd Endorses Ronald Filler, Esq's FINRA Petition for Direct Registration Exam
March 21, 2023 - FINRA's Travesty of a Transamerica Settlement
March 13, 2023 - The Financial Professionals Coalition: Join Us Today
March 8, 2023 - Blackbook Capital Versus FINRA: A Decade of Battle
March 6, 2023 - Welcome to the BrokeAndBroker.com Blog and the Securities Industry Commentator Feed
March 1, 2023 - Federal Court Deems FINRA Absolutely Immune in Expungement Lawsuit
February 28, 2023 - Lira v. Edward Jones: An Ironic and Cynical Tale of Alleged Discrimination, Harassment, and Retaliation
February 9, 2023 - FINRA Arbitrators Award Customer $144,000 Against Charles Schwab Amid Allegation of Flawed Investment Recommendations
February 8, 2023 - FINRA Arbitrator Denies Indemnification Citing Firm's Failure to Supervise
February 6, 2023 - The FINRA Regulatory Mule Kicks Defrauded Customers In the Head
February 2, 2023 - The SEC Toys With A Dead FINRA Expungement Mouse for 50 Months
January 31, 2023 - Federal Appellate Court Affirms Dismissal of Wells Fargo and FINRA
January 30, 2023 - Bill Singer Slams Garbage Regulation on Wall Street
January 25, 2023 - Transfer of AMC Shares From Webull Financial to Fidelity Becomes Unfunny Comedy of Errors
January 13, 2023 - We Got A Version. We Got A Sample. We Got A 17 Year Old Margin Capability Dispute Against E*TRADE
January 12, 2023 - FINRA NAC Fines and Suspends Rep For Paying Commissions to an Unregistered Person
January 10, 2023 - Did You Hear The One About The Zombie Who Requested An IRA Distribution?
January 9, 2023 - Imagine That a $10 Million FINRA Arbitration Claim Settles for $100,000
January 6, 2023 - Removal of FINRA Arbitrator Cited by Schwab and Interactive Brokers in HFT Customer Dispute
January 3, 2023 - TD Ameritrade Escapes $1.7 In Damages But An Advisor Gets Slammed by FINRA Arbitrators
December 29, 2022 - FINRA Can't Wait Forever Even Though Morgan Stanley Wants It To
December 27, 2022 - TD Ameritrade Customer Sues Over Alleged Wrongful Margin Sell-Out
December 22, 2022 - FINRA Sued in the Wrong Place At the Wrong Time Affirms Federal Circuit Court
December 21, 2022 - FINRA and Citigroup Global Markets Not SHO Enough
December 20, 2022 - Federal Court Denies Reconsideration of FINRA Referral Letter Cited In Federal Insider Trading Appeal
December 19, 2022 - Newborn Baby, Paternity Leave, Away Account, Loss of Job, and the FINRA Fine and Suspension
December 15, 2022 - Edward D. Jones Fails To Timely or Fully Produce Phone Records to FINRA
December 14, 2022 - Intellivest Securities Hunts Down Raiders Who Allegedly Gutted The Brokerage Firm
December 12, 2022 - Sexism on Wall Street: The Cowardly Silence of FINRA's Board of Governors
November 28, 2022 - Magical Mystery Tour Of A FINRA Arbitration Expungement Award
November 22, 2022 - FINRA Fines and Suspends Former SagePoint Rep Who Didn't Actually Know Anything
November 18, 2022 - Brokerage Firm Sues Former Stockbroker for Indemnity After Paying Customer Settlement
November 17, 2022 - To Err Is Human. To Forgive Is A FINRA Fine.
November 14, 2022 - FINRA Arbitrators Slam Losing Respondents with Hearing Fees in Breach of Contract Dispute
November 10, 2022 - TD Ameritrade Loses FINRA Customer Arbitration Citing Inaccurate Statements and Forced Liquidation
November 9, 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 - Accessing FINRA Test Center Launch Codes With Colonel Mustard
October 26, 2022 - The Problem for A Merrill Lynch Registered Rep Seeking the Expungement of a Settled FINRA Arbitration
October 25, 2022 - TD Ameritrade Customer Loses Incorrect Address FINRA Arbitration
October 24, 2022 - Frustrated Interactive Brokers Customer Can't Get No Satisfaction With Tesla Order
October 21, 2022 - FINRA Takes Wells Fargo Stockbroker Outback to a Bar for a Second Round
October 20, 2022 - Deferred Compensation Case Meanders to FINRA Arbitration to Federal Court to State Court to Dumpster
October 19, 2022 - Beating a Dead Statutorily Disqualified Horse on Wall Street
October 17, 2022 - FINRA Censures and Fines Former Raymond James SVP for Signing Letters of Credit for Customer
October 13, 2022 - A Lack of Finality: The Trevor Saliba Saga at FINRA and the SEC and Again at FINRA
October 10, 2022 - The Disappearing Act of Elder Abuse in a TD Ameritrade FINRA Arbitration
October 6, 2022 - Whistleblower Angered by SEC's Split of $27 Million Award
September 27, 2022 - Cuyahoga Gone in Appellate Ruling To Send Dispute to FINRA Arbitration
September 23, 2022 - GUEST BLOG: A Personal Message From Granville A. Ungerleider, Candidate for FINRA 2022 Small Firm Member of the NAC
September 22, 2022 - BrokeAndBroker.com Hit With Second 2022 DMCA Takedown Notice After Prevailing in Same Dispute in 2020
September 16, 2022 - Federal Court Denies JPMorgan TRO Against Former Employee But Grants Expedited Discovery
September 15, 2022 - UPDATED: Stone Cold Day of Reckoning for FINRA and Self Regulation
September 12, 2022 - A Lack of Finality: The Trevor Saliba Saga at FINRA and the SEC
September 6, 2022 - Tastyworks Eats $2 Million Worth Of Not-So-Tasty ZOOM Options
August 31, 2022 - Unsettling Settlement Puts FINRA's Board of Governors in Troubling Light
August 29, 2022 - Former Ameriprise Rep Files Lawyer Malpractice Complaint After Losing FINRA Promissory Note Arbitration
August 22, 2022 - Barred Stockbroker Charged With Five Counts of Wire and Mail Fraud. Did Any Victim Do Any Due Diligence?
August 18, 2022 - Claimant Wins $57 Million in FINRA Arbitration Award and Once More Around The Loop with Bill Singer
August 17, 2022 - FINRA Arbitration Panel Finds TD Ameritrade Grossly Negligent With Form U5
August 15, 2022 - Overtime at Merrill Lynch Prompts Uneven-Handed FINRA Regulation
August 12, 2022 - Federal Court Denies Legend Securities President Bankruptcy Discharge of FINRA Customer Arbitration Award
August 10, 2022 - Georgia Court of Appeals Reverses Leggett v. Wells Fargo
August 3, 2022 - Equity And Justice Prevail In Breathtaking FINRA Expungement Award
August 1, 2022 - FINRA Small Firms Face Existential Crisis. VOTE Stephen Kohn for Small Firm Governor
July 29, 2022 - Former Wells Fargo Advisors Senior Vice President Moves Federal Court to Undo 2017 FINRA Settlement
July 27, 2022 - BrokeAndBroker.com Blog by Bill Singer Esq
July 26, 2022 - Fidelity Brokerage Services Has Two Trains Runnin' in FINRA Arbitration and Federal Court
July 25, 2022 - GUEST Blog: FINRA and Another Nail by Stephen Kohn, Candidate for FINRA 2022 Small Firm Governor
July 21, 2022 - FINRA Arbitration Combines Circular Logic With a Nested Loop and a Mobius Strip in Wage Dispute
July 18, 2022 - Boustead Securities Survives Motion to Dismiss in Success Fee Dispute
July 13, 2022 - Guest Blog: Fair Credit Reporting Act (FCRA) and Regulation S-P by Regulated or Aggrieved
July 11, 2022 - The Flash Crash, Interactive Brokers, Two Hedge Funds, John Does, and Homer Simpson's Appetite for Donuts
July 6, 2022 - FINRA Report Refutes Court Finding of Fundamental Unfairness in Leggett Arbitration (With Updated Conclusion)
June 30, 2022 - FINRA Arbitrators Hit Citigroup With $1.4 Million Damages For Discrimination, Harassment, and Retaliation
June 28, 2022 - GUEST BLOG [In]Securities: Jive Talkin': The SEC Busts a Braggin' Broker by Aegis Frumento Esq
June 24, 2022 - Suspension of Disbelief: The Louis Ottimo FINRA to SEC Back to FINRA Back to SEC Regulatory Saga
June 23, 2022 - JP Morgan Securities Sued for Over $10 Million in Team Dissolution FINRA Arbitration
June 22, 2022 - 122 Days And Counting For FINRA's Independent Review Of Its Arbitration Selection Process
June 20, 2022 - Guest Blog: Now You See It, Now You Don't by "Regulated or Aggrieved"
June 15, 2022 - Former Sales Manager Barred By FINRA After Assistant Takes His CE Training
June 9, 2022 - The Nightmare of a Dream Job on Wall Street
June 7, 2022 - J.P. Morgan Securities Demolished In FINRA Non-Solicitation Arbitration
June 6, 2022 - 94 Days And Counting For FINRA's Independent Review Of Its Arbitration Selection Process
May 23, 2022 - FINRA Fines and Suspends Former Morgan Stanley Rep For Putting Compliance Cart After the Horse
May 18, 2022 - Edward Jones Sued for $15 Million Over Book of Business
May 17, 2022 - Wells Fargo Sues Over Transitional and Production Bonuses But Rep Fights Back
May 13, 2022 - FINRA Torches Small Brokerage Firm Over Due Diligence Procedures
May 10, 2022 - FINRA Arbitrators and Federal Courts Consider If A Terminable-At-Will Employee Can Be Wrongfully Terminated
May 9, 2022 - A Customer Complaint That Wasn't and A Servicing Broker Who Wasn't
May 6, 2022 - FINRA Arbitration Panel Slams Cetera Advisors with $3 Million Defamation Damages
April 29, 2022 - Pro Se Customer Sues Robinhood But Fails To Show For Round One of FINRA Arbitration
April 26, 2022 - Who Opened What Type of Account Becomes a Dilemma in E*Trade Federal Court Motion
April 25, 2022 - FINRA Is Aligning Its MAP CAIF Grouping Model With Firm Tofu And Feedback -- or so it seems
April 21, 2022 - GUEST BLOG; Still Fighting the Wall Street Bullies by Stephen Kohn
April 19, 2022 - FINRA Rights REIT Wrongs With Fine and Suspension
April 18, 2022 - Unhappy Customers Pull Out All the GameStops In FINRA Arbitration Win Against Charles Schwab
April 12, 2022 - For a Second Time, Federal Court Says Price Isn't Right In UBS Whistleblower Retaliation
April 11, 2022 - Former Morgan Stanley Rep Should Count His FINRA Settlement Blessings
April 11, 2022 - The 90 Year Old Customer, The Trust Account, Merrill Lynch, the Asset Sale, and the Margin Trade
April 7, 2022 - SEC Slaps Generic, Non-Specific Whitewash Over Database Scandal
April 6, 2022 - FINRA Sued in the Wrong Place At the Wrong Time
April 5, 2022 - 3Cir Considers Absolute Privilege For Alleged Form U5 Defamation
April 4, 2022 - The Deceased Mother's IRA, Her Two Sons, Her Deceased Daughter, Her Son In Law, and A Messy Estate Dispute with T. Rowe Price
April 1, 2022 - FINRA Arbitrators Hit Commonwealth Financial with Compensatory and Punitive Damages in Defamation Case
March 31, 2022 - FINRA Referral Letter Cited In Federal Insider Trading Appeal
March 30, 2022 - FINRA Arbitration Claimant Asks Federal Court to Appoint Counsel
March 29, 2022 - Arousing the Wrath of the Great and Powerful SEC and FINRA
March 28, 2022 - Stockbroker Wins Expungement of Two Edward Jones Customer Complaints
March 24, 2022 - Wells Fargo Promissory Note Case Enters Its Second Decade of Litigation
March 23, 2022 - Motion to Vacate FINRA Arbitration Award Fails To Raise Federal Jurisdiction
March 22, 2022 - FINRA Bars JP Morgan Securities Rep Over Chase Bank Credit Card Charges
March 21, 2022 - FINRA and SEC Continue Dakota / Zipper Ping Pong Game of Dubious Regulation
March 18, 2022 - Angry E*TRADE Customer Can't Find 750 Shares of Tesla
March 11, 2022 - FINRA Arbitrators Award Over $2 Million In Disputed Customer Transfer and Asset Purchase Agreement
March 8, 2022 - Former Cantor Fitzgerald Trader Sues Over Wrongful Termination Involving Child Care Leave
March 7, 2022 - No Good Deed Goes Unpunished As FINRA Sanctions Rep For Lending Money to Friend
March 3, 2022 - Three-Handed Dilemma Grabs NYAG, NYPPEX, Laurence Allen, and FINRA
March 1, 2022 - Federal Courts and FINRA Arbitrators Consider If A Terminable-At-Will Employee Can Be Wrongfully Terminated
February 28, 2022 - Federal Court Puts A Fork In Schottenstein FINRA Arbitration and Says It's Done
February 25, 2022 - UPDATE: The Google, Candido Viyella, Morgan Stanley, Fundacion Nicor Panama Saga: a Bill Singer 2022 Copyrighted Article fighting DMCA Takedowns
February 24, 2022 - Cynical FINRA Press Release Lacks Urgency in Response to Arbitration Fiasco
February 22, 2022 - The Candido Viyella, Morgan Stanley, Fundacion Nicor Panama Saga: a Bill Singer 2022 Copyrighted Article fighting DMCA Takedowns
February 21, 2022 - Robinhood Hit With Damages in a Say-Nothing FINRA Arbitration Award
February 17, 2022 - FINRA Sanctions Another Morgan Stanley Rep for Commissions Earned Under Joint Production Agreement
February 16, 2022 - Customer Lawsuit Puts Robinhood In The News Again
February 15, 2022 - Federal Court Can't Find Any Basis For FINRA Arbitration Decision In HSBC Managing Director Case
February 10, 2022 - FINRA Customer Claimant Says Arbitrators Left Out Zeros In Award
February 8, 2022 - Court Finds FINRA Arbitration Process Not Fundamentally Fair
February 4, 2022 - FINRA Sanctions Rep for Commissions Earned Under Joint Production Agreement
February 3, 2022 - Native American Tribe Investment Portfolio Proves Costly for Purshe Kaplan & Sterling Investments
February 2, 2022 - FINRA the Sheriff of Nothing-ham and Robinhood
January 31, 2022 - FINRA Fines and Suspends Barclays Analyst For Undisclosed Employment Offer
January 28, 2022 - FINRA Fines and Suspends Rep Over Undisclosed Elderly Widow's Will Bequest
January 24, 2022 - A Bankruptcy, a Voluntary Dismissal, and a Death
January 20, 2022 - FINRA Arbitration Award Limits Social Media Liking and Linking
January 18, 2022 - Good Vibrations Shoes: 4 Phase Randomized Program Along with a Lithium Rechargeable Power Source
January 14, 2022 - FINRA Mulls A Defaulted Bond's Worth
January 12, 2022 - How Many FINRA Enforcement Lawyers Does It Take To Prosecute a Default Case?
January 10, 2022 - FINRA Says It Had No Part In Deciding Schwab Customer Arbitration -- Seriously?
December 27, 2021 - The Collision of the Inept With The Incompetent -- A Wall Street Compliance and Regulatory Tale
December 22, 2021 - FINRA Arbitrator Won't Rewrite Indemnification Clause
December 20, 2021 - FINRA Arbitrators Award $1 In Response to $1 Million In Damages Sought (Sort of)
December 13, 2021 - No Show Respondent in FINRA Arbitration Prompts No Explanation in Award
December 6, 2021 - Did You Hear About The FINRA Arbitration Against Fidelity For Dental Pain and Suffering?
December 1, 2021 - Appellate Court Affirms $11.5 Million in Damages and Costs in Employment Defamation Case
November 23, 2021 - Sound of Silence From A FINRA Arbitration That Says Nothing About Anything Despite Awarding $650,000
November 22, 2021 - Veteran Stockbroker Sues For Unjust Termination Involving Sales Goals and Outside Business Activities
November 19, 2021 - The Ex-Wife, the Ex-Husband Stockbroker, the Two FINRA Arbitrations, the Stale Case, the Default Case, and the Appeal
November 17, 2021 - Two of Three FINRA Arbitrators Ironically Disappear In Unexplained Expungement Award
November 16, 2021 - DreamFunded Dream Faded At FINRA And SEC Declines to Stay Expulsions and Bars
November 15, 2021 - FINRA Takes Victory Lapse in Aegis Capital Regulatory Settlement
November 10, 2021 - There's Something Happening Here (at a FINRA Arbitration ) But What It Is Ain't Exactly Clear
November 8, 2021 - FINRA Chair Murray Ironically Argues Against Self Regulation
November 4, 2021 - Postponement Request for Illness in FINRA Customer Arbitration Prompts Covid Testing
November 3, 2021 - No-Show FINRA Member Firm Loses Customer Arbitration But Where is FINRA When It Comes To Collecting on the Award?
November 2, 2021 - No Margin For Error With Options Expiration
November 1, 2021 - Frustrated Former Merrill Lynch Employee Could Not Be Promoted But Maybe Could Have But the Firm Says It Didn't Have To
October 29, 2021 - Stipulated Arbitration Award Ends TD Ameritrade Solicitation Dispute
October 28, 2021 - FINRA Arbitrators Revise Beneficiaries in Transfer on Death Accounts
October 27, 2021 - FINRA Arbitrators Find No Evidence For Customers' $10 Million UBS YES Claims
October 26, 2021 - Equitable Inadvertence Earns Inequitable FINRA Sanctions
October 25, 2021 - There Was Little She Could Do -- So Why Was This BOM's Record Marked Up?
October 20, 2021 - FINRA, FinCen, Networks, Authorities, Priorities, Statements, Guidance, AML, CFT, BSA, and NBFI
October 14, 2021 - Public Customers Win (Sort Of) Undelineated Cause of Action In Oddball FINRA Arbitration
October 13, 2021 - The FINRA Expungement of A Customer Complaint That Was Not a Complaint Or From A Customer
October 11, 2021 - Troubling FINRA Regulatory Case: Quis custodiet ipsos custodes?
October 7, 2021 - FINRA NAC Affirms OHO But Eliminates Heightened Supervision
October 4, 2021 - Veteran Wall Street Reform Advocate Bill Singer Esq. Renews Call for Antifraud Fund and PIABA FINRA Board Seat
October 1, 2021 - DreamFunded Dream Faded At FINRA
September 30, 2021 - FINRA, Claptrap, Fraud, Mental Frames, and Subjective Construals
September 23, 2021 - FINRA, Crypto, Covid, and Outside Business Activities
September 22, 2021 - The Wheels on the Bus Go Round and Round and Drive Over A Wall Street Career
September 16, 2021 - FINRA Fines and Suspends Young Merrill Trader For Spoofing Treasuries
September 14, 2021 - 4 questions for Wall Street fraud expert Bill Singer with Host Julie Coleman, Financial Planning
September 9, 2021 - FINRA Suspends Unregistered Female for Following Registered Male Rep's Orders
September 7, 2021 - FINRA Fines and Suspends Rep Over False Attestations Involving an Elderly Widow's Beneficiary Designation
September 1, 2021 - UPDATE: If You Didn't Know But Now Do. If You Hadn't Told FINRA But Did. If You Ask For A Stay But the SEC Doesn't.
August 31, 2021 - Surprise, Surprise, Surprise In FINRA Intra-Industry Defamation Arbitration
August 27, 2021 - DBS Throws Director Under the FINRA Regulatory Bus
August 24, 2021 - FINRA Arbitrator Pens Perfect Rationale in UBS Expungement Award
August 23, 2021 - PIABA Wanted Live FINRA Arbitration (But Covid Had Other Plans)
August 19, 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 - FINRA AWC Did Not Require Acceptance of Findings But Why Does Regulator Publish Denials?
August 9, 2021 - A Free Credit Card Prompts a Costly Expungement
August 5, 2021 - FINRA's Restricted Firm Rule: Two SEC Commissioners Toast the Sinking of the Titanic
August 2, 2021 - Another Office Girl Gets Slammed By FINRA
July 29, 2021 - FINRA Arbitrators Put It There In Disputed AMZN Options Trade
July 28, 2021 - Makin' It Rain At The Strip Club -- FINRA Goes After Adult Entertainment Charges
July 26, 2021 - FINRA Fines and Suspends Rep For Seeking COVID Loan
July 22, 2021 - FINRA Sanctions CCO/AMLCO Over Microcap Red Flags And Private Placement Disclosures
July 21, 2021 - FINRA Arbitrators Directly Nullify Indirect Non Solicitation Agreement
July 13, 2021 - Wasted Time By FINRA Regulatory Notice
July 12, 2021 - Chase Investment Services Says Former Employee Raised Inadmissible Settlement Communication
July 8, 2021 - FINRA Sanctions Rep and Sanctuary Securities Over NT-ETFs
July 7, 2021 - Angry Variable Annuity Customer Vexatiously Pursues His Legal Rights
July 6, 2021 - Federal Court Puts the Confidential Back Into Confidential Settlement Agreement
July 2, 2021 - Who's Zooming Whom in FINRA Arbitration and Federal Court?
June 29, 2021 - FINRA Fines and Suspends Rep for Undisclosed Bankruptcy in PPM
June 25, 2021 - Veteran Journalist Susan Antilla Discomforts Wall Street Over Racism
June 22, 2021 - FINRA Censures and Fines Citigroup Global Markets Inc. for Failed Supervisory System
June 17, 2021 - If You Didn't Know But Now Do. If You Hadn't Told FINRA But Did. If You Ask For A Stay But the SEC Doesn't.
June 16, 2021 - All Along the Watchtower FINRA Defends Against the Invading Notaries
June 15, 2021 - FINRA Fines and Suspends LPL Rep For Paying Commissions to an Unregistered Person
June 10, 2021 - Native American Tribe's Investment Portfolio Proves Costly for Purshe Kaplan & Sterling Investments
June 9, 2021 - The TD Ameritrade Stockbroker and The Customer Were Friends Until Options Trading Came Between Them
June 8, 2021 - 2Cir Affirms FINRA Arbitrators Award to Jefferies of $1 Million Liquidated Damages For Aborted Employment
June 7, 2021 - Now You See It, Now You Don't -- FINRA Rule 2010 Applied by OHO But Rejected by NAC
June 3, 2021 - GUEST BLOG: FINRA Withdraws Proposed Expungement Rule by Nancy L. Hendrickson Esq
June 2, 2021 - Three FINRA AWCs and One Mess of an Arbitration Raise Unanswered Questions About Supervision
June 1, 2021 - FINRA Arbitrators Cite RBC Investigator's Tactics In Disrespectful Award
May 27, 2021 - Whistleblower Gets Screwed But FINRA Doesn't Care
May 24, 2021 - The Vanguard Customer Didn't Ask, Didn't Listen, But The Firm's Voicemail Sucks
May 20, 2021 - FINRA Publishes Helpful Notice About Online Account Takeover (ATO)
May 17, 2021 - In Pandemic Times An SEC Investment Advisers Act Fraud Complaint Survives a Motion to Dismiss
May 14, 2021 - Federal Court Says Second Amended Complaint Looks Too Much Like First Amended Complaint
May 11, 2021 - Federal Court Rejects TRO Against Brokerage Firm and RIA
May 10, 2021 - Former Raymond James Rep Wins One and Loses One in Employment Disputes
May 6, 2021 - Federal Court Cites Confusion Of Ray Jay's Many Raymond Jameses
May 5, 2021 - The Elderly Customer, The Will, The Stockbroker, The Complaining Brother, And The Post-Mortem Wires and Checks
May 3, 2021 - Structuring of Eight Bank Deposits Earns FINRA Suspension
April 30, 2021 - FINRA Fear and Wall Street Trembling and The Financial Sickness Unto Death
April 29, 2021 - PIABA Wants Live FINRA Arbitrations And Wants It Now
April 28, 2021 - Wall Street Compliance Professionals Need FINRA Like A Heart Attack
April 22, 2021 - The Trust, The Beneficiary, The Annuity, The Elderly Customer, and The Stockbroker
April 21, 2021 - FINRA Enters Into Fair Settlement Involving Customer Loans and Outside Business Activities
April 20, 2021 - Insult Added to Injury in Puerto Rico Bond Dispute
April 16, 2021 - Desperately Seeking FINRA Arbitration On Remand From Federal Court
April 15, 2021 - These Foolish Things Remind Me of FINRA
April 14, 2021 - Customer Complaints and Away Settlements -- Matters of Interpretation?
April 9, 2021 - FINRA Gives Credit to Credit Suisse for Not Having A Relevant Disciplinary History
April 8, 2021 - JP Morgan Customer Seems To Have Accused Stockbroker of Not Exercising Unauthorized Discretion
April 7, 2021 - FINRA Fines and Suspends Former Barclays Rep Over Reimbursed Expenses
April 6, 2021 - The Expungement Was Not Not Warranted But Still Denied
April 5, 2021 - First Circuit Remands NY Life Racism Case to FINRA Arbitration
March 31, 2021 - The Great FINRA Hand Sanitizer Caper!!!
March 30, 2021 - When An Undisclosed Settlement Gets Disclosed to FINRA
March 29, 2021 - Remember The Story About The Bernie Sanders Coffee Cup Filled With Feces At Cantor Fitzgerald?
March 25, 2021 - The FINRA Investor Education Foundation Is A Lonely Hunter
March 24, 2021 - FINRA Notice Reminds Firms Of Obligation To Thoughtfully Craft Strong Rules In Advance
March 19, 2021 - FINRA Charges Operations Professional $5,000 for Sushi
March 17, 2021 - The Grandfather FINRA OBA Paradox
March 15, 2021 - Did You Hear the One About the Oligarch Money Launderer and Arms Dealer?
March 11, 2021 - FINRA Suffers Stunning Rebuke by SEC in Tysk Appeal
March 8, 2021 - High Standards In Low Places on Wall Street
March 5, 2021 - As Time Goes By At FINRA And TradeStation
March 4, 2021 - Vanguard Compliance Manager Submits Altered and Fabricated Documents to FINRA
March 3, 2021 - FINRA Censures and Fines Securities America Over Outsourced Onboarding
March 2, 2021 - The Saga of FINRA Versus Kimberly Springsteen-Abbott
March 1, 2021 - Finders Keepers Losers Weepers Ends With FINRA Bar
February 25, 2021 - Not Getting Away With What You Are Trying To Get Away With On Wall Street
February 22, 2021 - An Elderly Grandma and Sister Who Wasn't and the New VA Beneficiaries
February 18, 2021 - FINRA Fines and Suspends CCO / AMLCO For Structuring
February 15, 2021 - NEWSFLASH: FINRA Observes Bad Actors In the Markets
February 11, 2021 - Former West Point Cadet Blows Up Wall Street Career
February 10, 2021 - Schottenstein Family Affair Yields About $20 Million FINRA Arbitration Award
February 9, 2021 - 3Cir Says Never Is Better Than Late In FINRA Arbitration Appeal
February 4, 2021 - FINRA Needs Some Fresh Air For A 20 Month Suspension
February 3, 2021 - FINRA Expungement Takes on Aspects of a Psychiatric Case
February 2, 2021 - Former Merrill Lynch / BOA Employee Wins Dramatic FINRA Expungement
January 29, 2021 - Something's Coming From FINRA But I Don't Know What It Is
January 27, 2021 - A Modern Tale of Cybercriminals, Fake ID, and a FINRA Arbitration
January 25, 2021 - FINRA Fines and Suspends Rep for Taking or Not Giving A Crap
January 19, 2021 - FINRA Margin Arbitration Proves All That Glitters Is Not Goldman Sachs
January 15, 2021 - Wells Fargo Collects Underpants and Makes Profit But Can't Prove Phase 2 Arbitration Agreement
January 14, 2021 - A Business Meal That Wasn't. A Job That's No Longer. A FINRA Regulatory Settlement That Hurts
January 7, 2021 - Did You Hear The One About The Customer Who Sued Because He Didn't Know Insider Trading Was Illegal?
January 5, 2021 - FINRA Arbitrator Says It Wasn't UBS Fraud. It Was Covid
January 4, 2021 - Moving the Goal Line In a FINRA Expungement Arbitration
December 30, 2020 - Last Dance for FINRA's Zipper? Nope, SEC Says Let's Do It Again
December 28, 2020 - It's A Schottenstein Family Affair In FINRA Arbitration
December 21, 2020 - Federal Court Says Former Morgan Stanley Advisor's Discrimination Claims Are Time Barred
December 18, 2020 - A History of SOES, Daytrading, NASD, NASDAQ, DOJ, SEC, Congress, and Robinhood -- and a Massachusetts Complaint and Another FINRA Fine
December 17, 2020 - SEC Commissioner Peirce Sounds the Due Process Alarm In Response To FINRA Rule Amendment
December 15, 2020 - After Midnight It All Hangs Out In Morgan Stanley Arbitration
December 14, 2020 - Schemes From a California Restaurant
December 7, 2020 - FINRA Fines and Suspends Former NYLIFE Associated Person For Impersonation
December 3, 2020 - FINRA Sanctions Former Morgan Stanley and UBS Reps Over Misuse of Customer Information
December 2, 2020 - A Stroll Down Wall Street's Fetid Memory Lane of Disparate Regulation
November 27, 2020 - Management of Native American Tribe's Investment Portfolio Prompts FINRA Bar
November 24, 2020 - Who Knows Where The Time Goes With Former JP Morgan Rep's FINRA AWC
November 18, 2020 - FINRA Gives Rep the Business Over Personal Expenses
November 17, 2020 - Federal Court Dismisses Challenge to Six Year Old FINRA AWC
November 11, 2020 - The Saad Saga Returns to Federal Court
November 9, 2020 - The Investment Banker, His Friend, the Friend's Holding Company, and the Two Deals
November 4, 2020 - FINRA Turns 300 Orally Authorized Trades Into 300 Trades Of Unauthorized Discretion
October 30, 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 - DC Circuit Court Sustains SEC Orders Against Thaddeus North
October 27, 2020 - JP Morgan Securities Whiffs In FINRA Arbitration Against Raymond James and Three Former Employees
October 26, 2020 - NYS Appellate Division Hands Defendants Setback In Lawsuit with Brummer and FINRA
October 22, 2020 - FINRA Fines Small Firm And its Owner For Misclassification of Expenses
October 21, 2020 - FINRA's Board Unimaginatively Responds to Existential Crisis By Raising Fees
October 16, 2020 - Ballad of a FINRA Man
October 15, 2020 - FINRA Fines and Suspends Merrill Lynch Rep Over Apartment Rentals
October 14, 2020 - Former Cetera Rep Sues AdvisorNet Financial Over Alleged Supervision and Compliance Failures
October 8, 2020 - Federal Court Confirms Merrill Lynch's Counterclaim Victory In Puerto Rico Bond Arbitration
October 6, 2020 - Pro Se Customer Alleges Unsuitability of Self Directed Put Sales
October 5, 2020 - Discovery Misconduct by FINRA Enforcement Prompts Tepid Response from Regulator
September 22, 2020 - Federal Court Affirms Federal Jurisdiction in FINRA Arbitration Appeal
September 17, 2020 - Wells Fargo Sues Over Transitional and Production Bonuses And Rep Fights Back
September 15, 2020 - FINRA Imposes Fine and Suspension Over Deceased Second Cousin Once Removed
September 11, 2020 - FINRA Fines and Suspends Rep for Transferring Customer List to New Employer
September 10, 2020 - For FINRA, Relevant Is A Large Gray Pachyderm
September 9, 2020 - UPDATE: E Pur Si Mouve, Idioti! (Or So An SEC ALJ Should Mutter)
September 8, 2020 - FINRA Proposes OHO and NAC Hearings Via ZOOM
September 3, 2020 - A History of SOES, Daytrading, NASD, NASDAQ, DOJ, SEC, Congress, and Robinhood
September 1, 2020 - The Boogie Woogie Crypto Man of Company C
August 28, 2020 - Pro Se Public Customer Alleges FINRA Arbitrators' Misconduct in Schwab Case
August 25, 2020 - FINRA Arbitrators Find Customer Complaint Made Virtually No Sense During Virtual Hearing
August 19, 2020 - UPDATE: No Rationale And No Explanation In FINRA Arbitration Decision
August 18, 2020 - Perplexing, Baffling FINRA Arbitration Award Affirmed in 4Cir Majority Opinion
August 17, 2020 - UPDATE: FINRA Says Brokerage Fee An Undisclosed Commission
August 12, 2020 - UPDATE: Ir-Rationale FINRA Merrill Lynch EFL Arbitration Decision Cited By Tax Court
August 10, 2020 - The Securities Industry Commentator by Bill Singer Esq
August 7, 2020 - JPMorgan Chase Bank Wins SDNY Remand to Arbitration of Cashier's Checks Escheat Case
August 4, 2020 - Statistical Voodoo in the 2020 FINRA Industry Snapshot Report
August 3, 2020 - VOTE FOR STEPHEN KOHN for 2020 FINRA Small Firm Governor
July 31, 2020 - FINRA Sanctions Concorde Investments Services and CCO Levy Over Supervisory Lapses
July 29, 2020 - Only One Litigant Shows Up For the FINRA Schoolyard Fight
July 27, 2020 - Dubious FINRA Study Finds Female Arkansas Prison Inmates Are Usually Poor and Financially Illiterate
July 24, 2020 - [In]Securities Guest Blog: When You Don't Know What It Is by Aegis Frumento Esq
July 23, 2020 - FINRA Borrowing Rule Seems to Say What It Means But It Doesn't Actually Mean What It Says
July 22, 2020 - Hugh Hewitt Supports Stephen Kohn for 2020 FINRA Small Firm Governor
July 21, 2020 - UPDATE: No Rationale And No Explanation In FINRA Arbitration Decision
July 20, 2020 - The Futility of Futility On Display in FINRA Expungement Dispute
July 17, 2020 - Bridgewater Over Troubled FINRA Waters
July 15, 2020 - Vote for Stephen Kohn for 2020 FINRA Small Firm Governor
July 13, 2020 - 9Cir Tames Sharemaster After Epic Battles With FINRA and SEC
July 10, 2020 - The Walls Came Down Between Research and Investment Banking
July 8, 2020 - $25,000 E*Trade Pattern Day Trading Minimum Deposit Requirement Challenged in Federal Lawsuit Against FINRA
July 2, 2020 - FINRA Settles Untimely Disclosure of Four Felony Charges Without Willfulness Finding
July 1, 2020 - UPPER CASE MESSAGES!!! EXCLAMATION POINTS!!! AND A FINRA FINE AND SUSPENSION!!!
June 26, 2020 - Gregory Acosta Hands FINRA an Earth Shattering, Precedent Setting, Historic, Stunning Defeat
June 24, 2020 - Federal Court Confirms FINRA Arbitration Award But With More Words And Explanations
June 22, 2020 - Federal Court Considers FINRA Arbitrability of Insurance Claims
June 18, 2020 - Rep's Wife and Adult Children Named as Elderly Customer's Insurance Beneficiaries
June 16, 2020 - Wells Fargo Promissory Note Case Enters Its Eighth Year of Litigation
June 15, 2020 - FINRA Arbitrator Troubled by Rep's Advance Collection of Asset Management Fees
June 10, 2020 - FINRA Arbitrator Sings Signed, Sealed, Delivered and Return to Sender In Default Award
June 9, 2020 - Stockbroker Expungement Grapples With Death and Taxes in Time of Plague
June 5, 2020 - Wells Fargo Sues Over Transitional and Production Bonuses And Rep Fights Back
June 3, 2020 - Federal Courts Grapple With Former TIAA Advisor's Racism and Retaliation Charges
June 2, 2020 - Troubling Disconnect and Lack of Appropriate Explanation Found in Scapegoat Defamatory Form U5 FINRA Arbitration
June 1, 2020 - FINRA Arbitration Has More In and Out Than A Porn Film
May 29, 2020 - Legend-ary Retirement Plan Embroils Cetera and First Allied in Federal Lawsuit
May 26, 2020 - Federal Court Cites Quintessential Shotgun Pleading and Myriad of Motions in FINRA Arbitration Appeal
May 22, 2020 - Credit Suisse Stockbroker Wins Expungement of Suspicious Customer Complaint
May 20, 2020 - FINRA Says Impeccable Merrill Lynch Has No Relevant Disciplinary History
May 19, 2020 - UPDATE: Federal Court Orders Rare TRO In Favor Of Terminated Rep Against Investacorp
May 15, 2020 - FINRA Arbitrators Award Severance to Former Barclays Employee
May 13, 2020 - Customer Sues TD Ameritrade For Failure to Investigate Fraudulent Debit Card Transactions
May 8, 2020 - FINRA Censures, Fines and Orders Restitution in Suitability Settlement
May 6, 2020 - Federal Court Orders Rare TRO In Favor of Terminated Rep Against Investacorp
May 5, 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 Court De-Fangs Merrill Lynch In Class Action Dismissal
April 27, 2020 - FINRA AWC Has Potential Precariously Perched Atop Conjecture and Speculation
April 24, 2020 - [In]Securities Guest Blog: Life's for the Living by Aegis Frumento Esq
April 23, 2020 - Guest Blog: Riddle of the FINRA Sphinx by Stephen Kohn
April 22, 2020 - IRA Dispute Offers a Bleak House for Fidelity Stockbroker
April 20, 2020 - Federal Courts Consider Disturbing FINRA Customer Arbitration Decision
April 17, 2020 - No Good Riddance from GFI In FINRA Good Leaver Arbitration
April 13, 2020 - It Ain't Over Till It's Over As Martinovich Appeals Continue
April 10, 2020 - Familiar Names Resurface In SEC Unauthorized Trading Scheme
April 8, 2020 - No Membership Port In A Regulatory Storm For Newport Coast Securities
April 7, 2020 - Federal Courts Reject FINRA Arbitrators' Manifest Disregard in Respondeat Superior Case
March 31, 2020 - Federal Courts Okay FINRA Unexplained Arbitration Decision
March 30, 2020 - Court Says No Second Bite of FINRA Arbitration Apple
March 23, 2020 - The Pen Is Mightier Than The Sword But Don't Bring Either Into A FINRA Test Center
March 18, 2020 - FINRA Fines and Suspends MML Rep Over Vacation Rental Property Investment
March 17, 2020 - FINRA Arbitrators Award Damages To Customer But Offset With Award to Stockbroker
March 6, 2020 - Bill Singer's Annual Warning: Disclose Your Tax Liens
March 4, 2020 - FINRA Arbitrators Deny Success Fee Damages to Underwriter
March 2, 2020 - Securities Industry Commentator by Bill Singer Esq
February 28, 2020 - Hot Shoe Burnin' Down Wall Street In FINRA Morgan Stanley Panama Arbitration
February 27, 2020 - Sexual Bondage, Videotapes, Divorce, Criminal Charges, Revenge Porn and FINRA
February 26, 2020 - FINRA Fines And Suspends Rep Over Unauthorized Signatures on Self Directed IRA Transfers
February 25, 2020 - Cannabis Science Case Smokes Definition of Brokerage Customer
February 19, 2020 - C'mon And Take A Free Ride. FINRA Arbitration Considers Failed Customer Payment
February 17, 2020 - Down In the Dunes, Dealing With the Goons with SEC ALJ Foelak
February 11, 2020 - The Saga of FINRA Versus Kimberly Springsteen-Abbott
February 10, 2020 - Court Rejects Late Breaking Wisdom As Too Late in FINRA Arbitration Appeal
February 7, 2020 - Oppenheimer Wins FINRA Arbitration Award For Stabilization Compensation
February 4, 2020 - FINRA Arbitrator Invokes Ineligibility Sua Sponte To Bar Expungement
February 3, 2020 - FINRA AWC Cites Dubious Options Strategy In IRA Account
January 31, 2020 - The Widow, Her Stockbroker, and Her Loans and Gifts to Him
January 29, 2020 - SEC Denies Stay of FINRA Expulsion Over Annual Audit Report
January 28, 2020 - FINRA Arbitrator Says It's Too Late To Turn Back Now
January 27, 2020 - Did a Federal Court Mistakenly Deem FINRA a Federal Prosecutor?
January 24, 2020 - In Today's Securities Industry Commentator
January 21, 2020 - FINRA Settles Case Involving What Looks Like A Felony But Isn't
January 17, 2020 - In Today's Securities Industry Commentator
January 15, 2020 - Ameriprise Didn't Know When To Fold In Terminally Ill Customer Case
January 14, 2020 - FINRA Arbitrators Cite Untimely RICO Claims By Former Merrill Lynch Executive
January 13, 2020 - Dismissed FINRA Arbitration Against JP Morgan Involves Horrific Backstory
January 10, 2020 - Cause something is happening and you don't know what it is. Do you, FINRA?
January 8, 2020 - Federal Court Troubled By FINRA Arbitration Chair's Non-Disclosure of Conflict
January 7, 2020 - UPDATE: Court Confirms UBS Promissory Notes Arbitration Citing Delays And Doctor's Note
January 6, 2020 - FINRA Needs To Better Coordinate Its Admonition of Statutory Disqualification
January 3, 2020 - Raymond James Rep Can't Get No Non-Attorney Representative To Not Make No FINRA Arbitration Proffer
January 2, 2020 - FINRA Sanctions Stockbrokering Paper Pushing Lawyer
December 27, 2019 - Courts Rebuke FINRA and Public Customer Over Arbitration of Settled Dispute
December 20, 2019 - Federal Court Transmogrifies FINRA Into State Criminal Prosecutor
December 13, 2019 - Customer Carries 31 Year Old Grudge Into Broker Expungement Case
December 11, 2019 - Appellate Court Sustains Criminal Conviction in Schwab Restraining Order Dispute
December 9, 2019 - In Today's Securities Industry Commentator
December 6, 2019 - Fee Based Rep Seeks Expungement Over Commissions He Never Charged
December 4, 2019 - FINRA Arbitrator Saves Innocent Stockbroker Caught In the Middle By Settled Customer Complaint
December 2, 2019 - What If A Much of a Which of a Wind Gives the Truth to a FINRA Arbitration Lie?
November 26, 2019 - [In]Securities: Who'll Be Watching Whom? by Aegis Frumento Esq
November 21, 2019 - Federal Court Denies FINRA Arbitration of NY Life Racism Case
November 18, 2019 - E Pur Si Mouve, Idioti! (Or So An SEC ALJ Should Mutter)
November 1, 2019 - Claimant's Attorney In ER, Claimant's Wife Gives Birth, but FINRA Arbitrators Won't Postpone Hearing
October 29, 2019 - SEC Says FINRA Doesn't Have To Sell Cheese At Its Arbitration Shop (or something like that)
October 25, 2019 - Featured in Today's Securities Industry Commentator by Bill Singer Esq
October 23, 2019 - What's Olde Isn't Necessarily New in the Digital Age
October 22, 2019 - Muni Rigor Mortis
October 21, 2019 - Texas Two-Step: 2 FINRA Arbitrations, 2 Texas State Courts, and 2 Texas Federal Courts
October 16, 2019 - The Wall Street Simulacrum of Regulation (Now Online and in Video Format)
October 14, 2019 - The Illogical Logic of FINRA's Willful Non-Disclosure of Tax Liens
October 11, 2019 - No Rationale and No Explanation In FINRA Arbitration Decision
October 8, 2019 - Getting the Girl to Do It On Wall Street
October 4, 2019 - Another Obituary for Wall Street
October 2, 2019 - Astounding 20 Criminal, Regulatory, and Compliance Cases Featured in Securities Industry Commentator
October 1, 2019 - FINRA Bars Rep Who Knew Someone
September 27, 2019 - FINRA Arbitrators Angered By Raymond James Tactics
September 25, 2019 - Client Associate Takes 4 Years of Rep's CE
September 24, 2019 - Federal Courts Affirm Forgiveness of Barclays Promissory Notes Repayment
September 23, 2019 - Citigroup's Cryptic Cryptocurrency Case
September 20, 2019 - A Brief Essentially Devoid of Any Legal Analysis or Citations
September 18, 2019 - FINRA's JPM Omelet Ends With Egg On the Regulator's Face
September 17, 2019 - FINRA Arbitrators Say Who Is On First. I Don't Care. I Don't Give A Darn
September 16, 2019 - Perplexing FINRA AWC About the Likely Statutorily Disqualified Rep
September 13, 2019 - Old CUSIP. New CUSIP. And a Customer Sues TD Ameritrade
September 11, 2019 - Oops I Did It Again Is No Defense In Second FINRA AWC
September 9, 2019 - FINRA Bars NYLIFE Rep Over Debit Card Expenses
September 6, 2019 - FINRA AWC Cites Prospective Customer, Possible Investor, and Proposal
September 4, 2019 - Rocky Enters Texas Ring Over Fee-For-Advice Dispute
September 3, 2019 - FINRA Arbitrators Order Stockbroker to Disgorge Future Bonuses to Ameriprise
August 30, 2019 - Morgan Stanley Marks Up Stockbroker's Record Over Annuity Complaint by Customer's Nephew
August 29, 2019 - Court Says Morgan Stanley Employee Failed to Opt Out of Arbitration Clause
August 27, 2019 - UPDATE: SEC Sustains Saad Sanction Saga
August 26, 2019 - The FINRA Dissident Community: A History
August 23, 2019 - Day Tripper Barred by FINRA For Bogus Travel Reimbursements
August 22, 2019 - FINRA Puts Lime Brokerage in the Self-Regulatory Coconut
August 21, 2019 - Reps File FINRA Arbitration Against Former Employer Over Failed Transition
August 19, 2019 - Wide Open Arbitration Slam Dunks for Two FINRA Firms. One Scores. One Clangs
August 15, 2019 - Federal Court Grapples With Compliance Officer's Whistleblowing to FINRA
August 14, 2019 - Pro Se Customer Alleges Unsuitability of Self Directed Put Sales
August 13, 2019 - FINRA Conducts Retrospective Rule Review on Senior Investors
August 12, 2019 - Barclays' Bank Shot Caroms Into Federal Court Reprimand
August 8, 2019 - Customer Chat with Schwab Chat Representative Prompts FINRA Arbitration
August 7, 2019 - FINRA Arbitrators Get Wright Wrong In BB&T Defamation Expungement
August 6, 2019 - FINRA's Hearing Officers Are 70% Former FINRA and 30% Former SEC
August 2, 2019 - GUEST BLOG: FINRA Hearing Process . . .BIAS . . . Real or Perceived???
August 1, 2019 - Anonymous Tip to FINRA's Securities Helpline for Seniors Gets Stockbroker Barred
July 31, 2019 - If It Wasn't For Bad Luck, I Would Not Have No Luck At All in FINRA Arbitration
July 30, 2019 - Trading After Death
July 24, 2019 - Another Small Fish Fry on Wall Street Reeks of FINRA Insincerity
July 22, 2019 - GUEST BLOG: What Can We Do To Increase Diversity? by Linde Murphy
July 19, 2019 - Morgan Stanley Hit with $3 Million FINRA Discovery Sanction
July 17, 2019 - FINRA Fines and Suspends Rep for Unauthorized Transfer of 270 Customers' Info
July 16, 2019 - FINRA Takes Wells Fargo Stockbroker Outback to a Bar
July 15, 2019 - FINRA Issues An Extraordinary and Cynical Release
July 12, 2019 - Customer's Wife Rescues Former Edward Jones Broker In Expungement Case
July 10, 2019 - Former LPL Stockbroker Suspended and Fined For Customer Borrowing
July 9, 2019 - Some BS from FINRA in Small Firm AWC
July 8, 2019 - Former USAA Financial Employees Win Nearly $2 Million in Wrongful Termination Case
July 2, 2019 - This Is Not A Pipe. This Is Not A Final, Appealable Order
July 1, 2019 - FINRA Foundation To Empower the Underserved But Batteries Not Included
June 28, 2019 - The Wife, The Husband, The Divorce, Edward Jones, The Stockbroker, and The Messy FINRA Arbitration
June 26, 2019 - Court of Appeal Vacates Morgan Stanley Elder Abuse Award in Troubling FINRA Arbitration
June 25, 2019 - Wells Fargo Banker and Broker Loses Humpty Dumpty FINRA Arbitration
June 24, 2019 - Pro Se Public Customer and Pro Se Stockbroker Did It Their Way In FINRA Arbitration
June 21, 2019 - DC Circuit Sustains FINRA Rule 2030 Against GOP Challenge
June 19, 2019 - The Inmate Stockbroker with 51 Disclosures on BrokerCheck
June 18, 2019 - 2019 FINRA Board of Governors Election
June 17, 2019 - UBS Stockbroker Seeks Expungement of ARS Claim That Firm Says Wasn't Made
June 14, 2019 - Comerica Securities Tells Suing Customers It Ain't Me, Babe
June 12, 2019 - FINRA Arbitrator Denies Expungement For Legally Meritless Customer Complaints
June 11, 2019 - The Customer Email Order, the Lunchtime Resignation, and The Angry Morgan Keegan Stockbroker
June 10, 2019 - Courts Affirm FINRA Award Via Virtual Naming of John Does In Customer Arbitration
June 5, 2019 - Wells Fargo Found Guilty of Defaming Stockbroker for Storing Customer Property
June 3, 2019 - Another Day. Another FINRA Regulatory Settlement. Another Case Involving Who Owns the Customer
May 31, 2019 - The Hysterical and Yelling Customer, The Market Crash, and A FINRA Expungement
May 29, 2019 - Not His Trade. Not His Fault. But Stockbroker Still Forced Into FINRA Expungement Arbitration
May 28, 2019 - Merrill Lynch Wins Motion to Dismiss Stale Customer Claims -- But Barely
May 24, 2019 - GUEST BLOG: FINRA Chokes on a Smoking Ear by Aegis Frumento Esq
May 23, 2019 - Something's Happening With A Discrimination Case But You Don't Know What It Is, Do You Mr. Jones?
May 22, 2019 - Member Firm Refuses to Produce Settlement Agreement in FINRA Expungement Arbitration
May 20, 2019 - Opioid Addiction on Wall Street: A Wells Fargo Employee Is Barred
May 17, 2019 - Former Morgan Stanley Branch Manager Wins Expungement of Failure to Supervise Claims
May 15, 2019 - 866 Trades in 15 Leveraged ETFs for 47 Customers Ends With 1 Bar
May 14, 2019 - FINRA Arbitrators Slam JP Morgan Over Defamatory Termination
May 13, 2019 - 5 OBAs, 2 PSTs, $15,000 Fine and 10 Month Suspension in 1 FINRA AWC
May 10, 2019 - Seller's Remorse Upends Investment Firm Sale In FINRA Arbitration
May 8, 2019 - FINRA Censures and Fines Firm Over Supervision of Watch and Restricted Lists
May 6, 2019 - Bottle of White, Bottle of Red, Perhaps An Assisted Living Bond Instead at FINRA Arbitration
May 3, 2019 - FINRA Warns Of Imposter Brokerage Websites
April 30, 2019 - Many Rivers to Cross But Stockbroker Just Can't Find His Way Over FINRA
April 26, 2019 - All Voya FINRA AWCs are Not Relevant Except When They Are
April 24, 2019 - FINRA Arbitrators Dismiss Customer Claims Involving Stanford International Bank CDs
April 23, 2019 - UBS Wins EFL Arbitration On Wall Street With No Name
April 17, 2019 - Sonny Corleone At the Toll Booth: A Study of a FINRA Email Review Settlement
April 16, 2019 - Morgan Stanley Supervisor Goofs But Stockbroker Pays the Price
April 15, 2019 - Court Suspends Former NYSE Arbitration Counsel and FINRA Arbitrator
April 10, 2019 - Death Craps Out With Viatical Settlement Dice
April 9, 2019 - FINRA Notice To Members 19-10 Should Have Said What It Meant
April 8, 2019 - FINRA Fines and Suspends Rep for Emailing Confidential Info Of 1,696 Plan Participants
April 3, 2019 - FINRA Arbitration Asks If Conservative Strategy Was Too Conservative
April 2, 2019 - Ex-Husband Says Ex-Wife and Stockbroker Looted Insurance Proceeds From Joint Account
April 1, 2019 - UBS Wins Promissory Notes Arbitration After Four Delays And A Doctor's Note
March 29, 2019 - Sterne Agee Wins Partial Subrogation In FINRA Customer Arbitration
March 27, 2019 - Former Vanguard Employee Terminated For "Work Avoidance" Fails To Show At His Expungement Hearing
March 26, 2019 - FINRA Settlement Not Fussing And Fighting But Working It Out
March 25, 2019 - Edelman Financial Services Loses Non-Solicit Non-Disparagement Case
March 22, 2019 - FINRA Suspends CEO and CCO Over Failed Supervision of Exotic ETFs
March 20, 2019 - Merrill Lynch Wins A Round Against Former Employees in FINRA Arbitration
March 18, 2019 - Good Intentions Pave Merrill Lynch Stockbroker's Retirement Highway to Hell
March 15, 2019 - FINRA Finds (AGAIN!) That Ameriprise Stockbroker Altered and Concealed Evidence in Customer Arbitration
March 13, 2019 - Morgan Stanley Female Rep Survives Former Advisor Program Arbitration
March 11, 2019 - Wife Says JP Morgan and Stockbroker Scammed Her In ReFi of Ex-Husband's Mortgage
March 8, 2019 - Pro Se Stockbroker Wins FINRA Expungement of Merrill Lynch Settled Customer Complaint
March 6, 2019 - FINRA Arbitrators Award Ameriprise Promissory Note Damages But With Odd Statement About What Was Not Considered
March 5, 2019 - Wells Fargo Promissory Note Victory Goes From FINRA Sublime to SEC Ridiculous
March 4, 2019 - Stockbroker Only One Call Away From FINRA Fine and Suspension
March 1, 2019 - FINRA Arbitration Costs National Securities In Promissory Note Case
February 27, 2019 - FINRA Regulatory Settlement About Vulnerable Individual Raises Troubling Questions
February 26, 2019 - Charles Schwab Sues Customers Over XIV Debit Balance
February 25, 2019 - FINRA Arbitrators Award Over $569,000 In Damages For In And Out Transfers
February 22, 2019 - Outside Business Activities and Away Account Cost Stockbroker $7,500 and Four Months on the Bench
February 20, 2019 - The Apple of My Ire
February 18, 2019 - Stockbroker Infallibility Too High A Bar Says FINRA Arbitrator
February 15, 2019 - Lord Voldemort, Bank of America, Merrill Lynch, FINRA, And Childcare Expenses
February 13, 2019 - Former National Securities Corp President/CEO Sues Firm In FINRA Expungement Case
February 12, 2019 - Merrill Lynch Stockbroker Crashes And Burns Over Class B Shares Limits
February 11, 2019 - The Errors on the Whited-Out Variable Annuity Form and FINRA's Fine and Suspension of a Supervisor
February 6, 2019 - Abandoned Car Wreck of Public Customer FINRA Arbitration
February 5, 2019 - Premature Withdrawal Ends In $445,000 Award Against Wells Fargo Rep
February 4, 2019 - Debating the Riddle Wrapped In An Enigma of FINRA Intra-Industry Arbitration
February 1, 2019 - Financial Elder Abuse Claims Against Morgan Stanley Die A Tortured Death
January 30, 2019 - Unsettled Settlement of Managed Account Goof Prompts FINRA Expungement
January 29, 2019 - Innocent Stockbroker Lost in Never-Neverland Wins FINRA Expungement
January 28, 2019 - Expungement Ten Years in the Making For Merrill Lynch Stockbroker
January 22, 2019 - Man Bites Dog. Stockbroker Sues Customer. Dog and Customer Bite Back
January 16, 2019 - FINRA Gets Email Snafu Right But Its Regulatory Role Wrong
January 15, 2019 - Federal Court Says Former Raymond James Employee Was On Notice of FINRA Arbitration
January 14, 2019 - Hot Nepal Real Estate Market Burns Stockbroker With FINRA Fine and Suspension
January 11, 2019 - Oppenheimer TKO'd by Stunning Stockbroker Offset in FINRA EFL Arbitration
January 9, 2019 - The Preemptive EFL Gambit Starts Anew On 2019 FINRA Arbitration Chessboard
January 8, 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 - Morgan Stanley and Wells Fargo Tackled for Big Loss in $7.7 million FINRA Arbitration
December 28, 2018 - Federal Court Considers SEC Subpoena of Outside Consultant Records
December 27, 2018 - Scottsdale Sues Rep For Contacting FINRA But FINRA Bars Him For Not Testifying Against Firm
December 26, 2018 - Wells Fargo Customer Left Town But Was In the Parking Lot But Wasn't, Sent Letter But Didn't, and Made Phone Call But Hadn't
December 21, 2018 - Hymn for the Missing FINRA Public Customer Claimant
December 18, 2018 - Pro Se Public Customer Walks Out Of FINRA Arbitration Hearing Room
December 17, 2018 - The Failure of Wall Street Compliance and Regulation: A Case In Point
December 12, 2018 - FINRA Rule 8210 and FINRA Rule 9552 Analysis by Bill Singer Esq
December 11, 2018 - FINRA Rule 8210 Demands End With Stockbroker Bar
December 10, 2018 - The Complaining Customer Is Dead, The File Is Lost, But A Stockbroker Battles On for Expungement
December 7, 2018 - The Wife, The Husband Stockbroker, The Divorce, The Wife's Complaint, and a FINRA Expungement Arbitration
December 5, 2018 - Former First Republic Securities Employee Wins $1.1 Million FINRA Arbitration Award
December 4, 2018 - Two Deceased Customers,Their Stockbroker, A POA, A TOD Account, And a Bar
December 3, 2018 - Stockbroker Plays Hide And Seek With FINRA
November 30, 2018 - Unsplit Commission Split Splits Two Registered Reps
November 28, 2018 - Son Calls FINRA Senior Helpline About Trading In Mom's Account
November 27, 2018 - FINRA Arbitrator Sanctions No-Show Public Customer Lawyer
November 26, 2018 - Getting Stoned Takes On New Meaning Plus Bonus Grandparent Alert
November 21, 2018 - Stockbroker Wins Expungements of Decade Old Customer Complaints
November 20, 2018 - Competitively Different Cambridge Loses Culturally Unique FINRA Block Trade Arbitration
November 19, 2018 - Stockbroker Victimized By Mother In Law Complaint About Stolen Funds
November 16, 2018 - Legend-ary FINRA Public Customer Arbitration
November 14, 2018 - Stockbroker Told to Provide Personal Email Account Password to Employer
November 12, 2018 - Customer Withdrawals and Vacations At Heart of Stockbroker Expungement
November 6, 2018 - Sole Beneficary Grandnephew Sues Morgan Stanley Questioning Mom's Capabilities
November 5, 2018 - Ameriprise Wins Epic Battle With Advisor Who Pled Guilty In Criminal Case
October 31, 2018 - UBS Wins FINRA Mandatory Arbitration Appeal
October 26, 2018 - GUEST BLOG: FINRA Dictator of Dispute Resolution by Dochtor Kennedy, Esq
October 24, 2018 - The Widow, Her Stockbroker Brothers In Law, The Estate, and Delay
October 23, 2018 - Ameritas Stockbroker Wins Snowball In Hell Expungement
October 22, 2018 - Psst . . . Here's a $10,000 Settlement Check But Don't Cash It
October 19, 2018 - State Farm Stockbroker, His Relative, a Faked Insurance Policy, Travel Perks, Job Loss, and FINRA
October 17, 2018 - Don't Speak: The New Motto of Wall Street Compliance and Regulation
October 15, 2018 - Customer Seeks $2 Million In Puerto Rico Bond Arbitration
October 12, 2018 - Morgan Stanley Customer Sues Over Forced Stop Loss
October 10, 2018 - 10 Years After, World Is Changed For Ameriprise Stockbroker In FINRA Expungement
October 9, 2018 - The Stockbroker, His Wife, 3 Customers, 3 Healthcare Proxies, 1 Trust, and 1 IRA
October 5, 2018 - Last Dance? SEC Hopes It Has Finally Zipped Zipper Appeals
October 3, 2018 - Merrill Lynch Rep Wins Expungement of Decade Old Customer Complaint
October 2, 2018 - Double Standard? FINRA Fines and Suspends Wells Fargo Employee For 382 Unauthorized Trades
September 28, 2018 - Stockbroker Pays Undisclosed Customer Settlement But It All Explodes Anyway
September 26, 2018 - 11th Circuit Rejects Mandatory FINRA Arbitration By Customers
September 25, 2018 - Public Customer, Brokers, and Brokerage Firm Spit Nails, Eat Lightning, and Crap Thunder
September 24, 2018 - FINRA Arbitrator Tells Customers Suing Citigroup That It's Too Late Baby
September 20, 2018 - Deutsche Bank Securities Hit With $2 Million Award in FINRA Expungement Case
September 14, 2018 - RBC Stockbroker Wins Expungement of ARS Complaints
September 12, 2018 - Stockbroker An Unintended Bystander Victim In Drive-By Customer Complaint
September 10, 2018 - Oops I Did It Again, Again in FINRA Public Customer Arbitration
September 7, 2018 - FINRA Ends the Beguine But Did It Begin the Beguine?
September 5, 2018 - FINRA Arbitrators Admit FINRA SEC Regulatory Settlements In UBS Puerto Rico Case
September 4, 2018 - Two Friends, Their Option Deal, A Stockbroker, His Restaurant, UBS, and FINRA
August 29, 2018 - Date of Birth on Driver License Crashes Stockbroker Career
August 28, 2018 - Ya Hear The One About The Stockbroker Who Listened to Idiots and Never Got His Record Expunged?
August 27, 2018 - Nietzsche, BeeGees, Kierkegaard, Syndergaard, and Jive Talkin' On Wall Street
August 24, 2018 - GUEST BLOG: Of Trust, Lattes and Blockchains by Aegis Frumento Esq
August 23, 2018 - GUEST BLOG: Big Changes Coming for Small Firms by John Busacca
August 22, 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 - Open Letter to FINRA CEO Robert Cook, Chair Bill Heyman, and Board of Governors
August 15, 2018 - Breathtaking Dissent In Industry Arbitration Asks Court To Sanction FINRA
August 14, 2018 - 10 Year Employee Forgivable Loan Battle Frustrates UBS
August 13, 2018 - Mean Spirited FINRA Must Respect Membership Median
August 10, 2018 - Where There's A Will, FINRA Says No Way!
August 9, 2018 - The Greek Yogurt Justice of Strained FINRA Mercy
August 8, 2018 - You Owe Me! A Referral Fee FINRA Arbitration Battle
August 3, 2018 - Memory Sinks Customer In CD and CMO FINRA Arbitration
August 1, 2018 - FINRA's Innovation Outreach Initiative and Fifth Harmony Taxonomy As Utilized in Fintech AI
July 31, 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 - FINRA Arbitrators Award Commission to Associated Person For Raising Capital for Customer
July 26, 2018 - FINRA Arbitrators Slam Wells Fargo With $8.5 Million Puerto Rico Bond Award
July 25, 2018 - FINRA Arbitrator Pens Expungement Decision Perfection
July 24, 2018 - UPDATE:Non-Attorney Representatives Involved In FINRA Arbitration Blight
July 23, 2018 - Morgan Stanley Customer Sues Over Dormant Account Charges
July 20, 2018 - Morgan Stanley Broker Fined and Suspended For NSF Wires Into His Personal Account
July 19, 2018 - 87 Year Old Stifel Nicolaus Customer, His Stockbroker, and 33 Blank Account Checks
July 17, 2018 - Crowdfunding Portal StartEngine Loses Customer Arbitration
July 16, 2018 - 5% Solution In FINRA Expungement Arbitration
July 13, 2018 - Cut, Pasted, Traced, Signed, Sealed, Delivered . . . and Suspended by FINRA
July 12, 2018 - Travelin' Man Comes To End of Wall Street Line
July 11, 2018 - Stockbrokers Victimized by Customer Imposter and FINRA Fees and Charges
July 10, 2018 - Morgan Stanley Broker Wins Expungement After Firm Settled With Customer
July 9, 2018 - Customer and Brokerage Firm Agree: I Wuz Robbed!
July 1, 2018 - Somebody's Got To Pay And FINRA Arbitrator Says It's Scottrade
June 29, 2018 - The Double Edged Sword of Facts And A FINRA Expungement
June 28, 2018 - The Elderly Wife, The Husband, and The Transfer on Death Account
June 27, 2018 - The Deceased Father, Claimant Mother, Daughter, Son In Law Stockbroker, and a Kickboxing Investment
June 26, 2018 - Variable Annuities And Wall Street's Jurassic World
June 25, 2018 - Zipper Plays Sisyphus to FINRA's Zeus
June 21, 2018 - Is FINRA Sleepwalking Through Member Firm Examinations?
June 20, 2018 - Power Play Short Circuits Broker's Career
June 18, 2018 - A Suicide on Wall Street -- and -- The Human Factor on Wall Street
June 15, 2018 - The Human Factor On Wall Street
June 14, 2018 - GUEST BLOG: A Suicide on Wall Street
June 13, 2018 - FINRA Suspends Stockbroker For Reimbursing Customer Options Losses
June 11, 2018 - SEC ALJ Denies Disqualification of Wedbush Lawyer
June 8, 2018 - Wall Street Career Cashed Out Over Identity Theft and Gift Cards
June 7, 2018 - The Imposter, The Signature, The Unregistered Associate, and a FINRA Bar
June 6, 2018 - GrandFund in a FINRA Grand Funk
June 5, 2018 - 2 Lies to FINRA Add Up to 1 Bar
June 4, 2018 - Feuding Stockbrokers Set Stage for Expungement of Cookie Cutter Customer Complaints
June 1, 2018 - FINRA Settles UIT and Instant Messaging Case
May 31, 2018 - Ameriprise Rep Barred for Unauthorized Mutual Fund Trades
May 30, 2018 - FINRA Fines And Suspends Merrill Lynch Rep for Check Kiting
May 29, 2018 - As the FINRA WORM Turns
May 25, 2018 - Batting 500 In FINRA Expungement
May 23, 2018 - Arbitration Mistake Becomes a FINRA Moneymaker
May 22, 2018 - Post Mortem Auto-Pilot Trading Sends Stockbroker's Career Into Head-On Regulatory Crash
May 21, 2018 - FINRA Stretches Definition of Participating in a Private Securities Transaction
May 18, 2018 - The Disqualified Stalking Felon Stockbroker, The Texting Stockbroker, The Missouri Waltz, and FINRA
May 17, 2018 - Colorado Court Shuts Down FINRA Over Expungement Confirmation
May 16, 2018 - No Show No Way No How Public Customer FINRA Arbitration
May 15, 2018 - FINRA Arbitrator Recommends Multiple Expungements for Veteran Stockbroker
May 14, 2018 - Was That Stockbroker's Customer Blowing Steam Or Making a Complaint?
May 11, 2018 - The Gambling Stockbroker, His Elderly Customers, and Their Loans to Him
May 10, 2018 - Money For Nothing Leaves Stockbroker in Dire Straits With FINRA
May 9, 2018 - FINRA Orders Partial Restitution in Activity Letter Settlement
May 8, 2018 - Sharemaster the Beastmaster Tames FINRA and SEC in PCAOB Dispute
May 7, 2018 - FINRA Hardship Waiver Hard To Find
May 4, 2018 - Pro Se Employee Eviscerated in FINRA Employment Expungement Arbitration
May 3, 2018 - Solicited System Snafu Stiffs Settling Stifel Stockbroker
May 2, 2018 - Financialindustryregulatory Arthur-Iddy's BrokenCzech Tool
April 30, 2018 - FINRA Arbitrators Say Wells Fargo Bank Breached Duty of Customer Care
April 27, 2018 - You Hear The One About The FINRA Arbitration Involving The Stockbroker With 36 BrokerCheck Disclosures?
April 26, 2018 - Former Ameriprise Rep Wins Split Decision In FINRA Arbitration
April 25, 2018 - FINRA Arbitrators Dissolve RIA / BD Lacking Operating Agreement
April 24, 2018 - FINRA Death Cab for an Un-Fare Email Cutie
April 23, 2018 - FINRA Bogarts the Weed In Medical Marijuana Settlement
April 20, 2018 - Pyrrhus, Battle of Asculum, a Stockbroker, FINRA, and a Pyrrhic Expungement Victory
April 19, 2018 - Of Bullet Fees and In House Counsel Fees In FINRA Employment Arbitration
April 18, 2018 - My Way Rules In Pro Se Expungement Case Against J.P. Morgan
April 17, 2018 - Rashomon Plays Out In Merrill Lynch Discretionary Case
April 16, 2018 - FINRA Books Outside Business Activity Fine and Suspension
April 13, 2018 - Drinking, Driving, Felonies, and a Wall Street Regulatory Head-On Collision
April 12, 2018 - Oppenheimer and Euro Pacific Duke It Out In $35 Million Unfair Competition Arbitration
April 11, 2018 - LPL, RR, BD, IRS, U5, FINRA, and AWC
April 10, 2018 - Setting the Record Straight by Bill Singer, Esq.
April 9, 2018 - Stormy Daniels Issue Hits FINRA Arbitration Remand
April 4, 2018 - FINRA Arbitration Panel Divines Intent of Deceased In Dividing Account Assets
March 29, 2018 - Body and Estate and Soul and a Counterfeiter and a Murderer and Merrill Lynch
March 28, 2018 - Perennially Hopeless Battle On In JP Morgan FINRA Arbitration
March 27, 2018 - FINRA Humiliated In Federal Court Arbitration Appeal
March 26, 2018 - Merrill Lynch Wins Puerto Rico Bond Arbitration Via Counterclaim
March 23, 2018 - 2 Wrongs Don't Add Up To 1 Right In FINRA Regulatory Settlement
March 22, 2018 - Branch Office Agreement At Heart of Industry Arbitration
March 21, 2018 - FINRA Arbitrators Deem CRD / U5 Disclosures Defamatory
March 19, 2018 - Merrill Lynch Employee and AllianceBernstein Work It Out In Unfair Competition Dispute
March 16, 2018 - No Winners In FINRA Customer Arbitration
March 14, 2018 - Disturbing FINRA Settlement Involving Elderly Client With Dementia
March 13, 2018 - Federal Court Sustains FINRA / SEC Over CEO Reckless Disregard of Net Cap Rule
March 12, 2018 - Wells Fargo Unpaid Overtime Class Action Gets Second Circuit Nod for AAA Arbitration
March 9, 2018 - CCO Fined and Suspended For Amending Her Own U5
March 8, 2018 - Bill Singer Esq Comments on FINRA Notice To Members 18-08: Outside Business Activities
March 7, 2018 - In the Year 2525 If FINRA Arbitration Is Still Alive
March 6, 2018 - Citi Hit With Over $4 Million Award In Wrongful Termination Arbitration
March 5, 2018 - Bubitotious Infectosis, FINRA Exams, and Loaded Dice
March 2, 2018 - Non-Attorney Representatives Involved In FINRA Arbitration Blight
March 1, 2018 - FINRA Proposes Consolidation of Outside Business Activities and Private Securities Transactions Rules
February 28, 2018 - Broker Dealer Wins Indemnification Arbitration Against Stockbroker
February 27, 2018 - Wells Fargo Sustains Stunning Promissory Note Loss
February 26, 2018 - Scottrade Customer Margin Case Tossed During Discovery
February 23, 2018 - Customer Appeals Wells Fargo Arbitration Loss To Federal Court
February 21, 2018 - Pro Se Former Nationwide Employee Wins $1 And CRD Expungement
February 20, 2018 - 30 Months Of Violations Under FINRA's Nose
February 16, 2018 - Days Late and Dollars Short For Former Oppenheimer Employee
February 14, 2018 - Gonna Take My Arbitration Problem to the United Nations
February 13, 2018 - Emergency Surgery Fails To Remove Margin Call
February 12, 2018 - Sterne Agee Broker's IPO Trading In Away Account Earns FINRA Sanctions
February 9, 2018 - Rankles Raised In FINRA Expungement
February 8, 2018 - SEC Zaps Zipper's Second Stay Request
February 7, 2018 - Historic Federal Reserve Restrictions on Wells Fargo
February 5, 2018 - FINRA Stuffs Stifel's Trading Ahead Exemptions
February 2, 2018 - Ameriprise and Former Rep Battle It Out Over EFL and Defamation
February 1, 2018 - Epic Rant About A Tepid FINRA Regulatory Settlement
January 31, 2018 - Defined Benefit Pension Plan Dispute Taxes Stockbrokers and Brokerage Firms
January 30, 2018 - FINRA Fines Firm Over Research Reports Practices
January 26, 2018 - Abuse And Harassment On Wall Street
January 25, 2018 - Stockbroker Expunges 7 Year Old UBS Customer Suitability Complaint
January 24, 2018 - FINRA Arbitrators See No UBS, Citigroup, or Merrill Customers And Dismiss Case
January 23, 2018 - FINRA Sanctions Charitable Remainder Trust Pitch
January 22, 2018 - UBS Complex Director Wins Margin Call Battle
January 19, 2018 - FINRA Firm Sues for $5.6 Million in Unfair Competition Arbitration
January 18, 2018 - FINRA Fines Firm When Unregistered Principal Acted Presidential
January 17, 2018 - FINRA Dispute Hangs Out As SEC Unzips Zipper Appeal
January 16, 2018 - A Hard Rainmaker Gonna Fall At FINRA
January 12, 2018 - FINRA Arbitrators Award $140,000 In Employee Defamation Case
January 11, 2018 - I Can't See Clearly Now In Morgan Stanley FINRA Arbitration
January 10, 2018 - Rep Emails Self 1,300 Account Numbers And FINRA Comes A Knockin'
January 9, 2018 - Who Owns The Customer? Open Letter to FINRA Board from Bill Singer Esq
January 8, 2018 - FINRA's $10,000 Expungement Price-Tag To Clear A Victim's Name
January 5, 2018 - Public Customer Rebuked In Two FINRA Arbitrations
January 4, 2018 - Class A Mutual Fund Front-End and FINRA Back-End
January 3, 2018 - FINRA Horse With No Name Named
January 2, 2018 - FINRA Arbitrator Recommends Expungement of Three Customer Complaints
December 29, 2017 - FINRA Wrestles With No Debt False Statement Versus Untrue One
December 28, 2017 - FINRA Expungement Arbitration Shows Failed System
December 27, 2017 - The Dead Father, Feuding Kids, Stockbroker In The Middle, and the Lawsuit
December 26, 2017 - Has FINRA Just Threatened To Shut Down Wall Street's Fantasy Leagues and Office Sports Pools?
December 22, 2017 - Arbitrators OK Raymond James Liquidation of JTWROS Account for Broker Husband's Loan
December 21, 2017 - A Little Bit of FINRA Hypocrisy For $20,000
December 19, 2017 - U Can't Touch This PERFECT FINRA Suitability Arbitration Decision
December 15, 2017 - The FINRA Gestalt
December 14, 2017 - FINRA Arbitrator Holds Public Customer Claimant In Contempt
December 13, 2017 - Season's Greetings From FINRA. You're Fined and Suspended. Ho, ho, ho.
December 12, 2017 - The Damnatio Memoriae of Former SEC Counsel Rory Flynn
December 11, 2017 - Widow Lacks Standing In FINRA Arbitration Involving Husband's IRA
December 8, 2017 - The FINRA Auction Market for Regulatory Fines and Suspensions
December 7, 2017 - Stockbrokers Succession Plan Grapples With Mine, Ours, and Yours
December 5, 2017 - Bleak Marshall Family Drama Hits FINRA Arbitration
December 4, 2017 - Not Fade Away Tops FINRA Regulatory Chart
December 1, 2017 - FINRA Arbitrator Gets By With A Little Help of A Friend
November 30, 2017 - UPDATE: SEC Says No Mulligans For FINRA Settlements
November 29, 2017 - Edward Jones Stockbroker Shot Blanks In FINRA Customer Signature Settlement
November 28, 2017 - FINRA Suitability Settlement Involves Five Elderly Retired Morgan Stanley Customers
November 27, 2017 - FINRA Plays Hide And Seek With Six Years Of Unauthorized Sales And Withdrawals
November 22, 2017 - CEO CCO FINOP Fined And Suspended Over Classification of Personal Expenses
November 20, 2017 - Clever Stipulation In FINRA Expungement Arbitration
November 17, 2017 - Voluntary Resignation, Diversion of Customer Funds, and FINRA Bar
November 16, 2017 - Humpty Dumpty, FINRA, Sharing, Guarantee, and Losses
November 15, 2017 - Merrill Lynch Employee Fined and Suspended for Business Meals by FINRA
November 14, 2017 - California Denies Expungement of NASD and Ohio Regulatory Disclosures
November 13, 2017 - 97 Year Old Client Names Stockbroker Executor and Beneficiary
November 10, 2017 - Five Not So Easy Thought Pieces About Pro Se FINRA Arbitration
November 9, 2017 - SEC Nixes Stay of Statutory Disqualification
November 8, 2017 - FINRA Schrodinger Cat Is Dead, Alive, and a Zombie
November 7, 2017 - Federal Appeals Court Deems FINRA Deputy of the Federal Government
November 6, 2017 - FINRA Tackles Insurance Claim Allowable Assets. But Is It Relevant?
November 3, 2017 - Paige Pierce For 2017 FINRA NAC Small Firm Member
November 1, 2017 - FINRA Settlement Is A Matter of Time And Price
October 31, 2017 - $3 Million Awarded In UBS FINRA Employment Dispute
October 30, 2017 - Delayed Resignation,Twitter,and Email Get Stockbroker Fined and Suspended
October 26, 2017 - Charity Begins At Work For Suspended Registered Rep
October 24, 2017 - Too Many Questions In Edward Jones TOD Account FINRA Arbitration
October 24, 2017 - FINRA Suitability Rule and the Unsophisticated Investor
October 23, 2017 - Absurd Unexplained Public Customer FINRA Arbitration Decision
October 20, 2017 - Brokerage Customer Says That What Looks Like A Complaint Wasn't So Intended
October 19, 2017 - Rep Defends Herself Against Ameriprise EFL Arbitration
October 18, 2017 - Dazed and Confused by FINRA Private Securities Transaction Rule
October 17, 2017 - SEC Saad Saga Still Slogs Still Sags
October 16, 2017 - Former JP Morgan Employee Represents Himself in Paternity Leave Case
October 12, 2017 - Fidelity Sues Financial Consultant Over Secrets and Unfair Competition
October 11, 2017 - Fixer Upper Biz Puts Stockbroker In Need of Career Renovation
October 9, 2017 - $25,000 Investment in Collectible Medals Earns FINRA Bar
October 6, 2017 - SEC Rejects Stockbroker Appeal of 2006 NASD Bar
October 5, 2017 - FINRA Borrowing Settlement Involves Friendly 96 Year Old Customer
October 4, 2017 - SEC Says No Mulligans For FINRA Settlements
October 3, 2017 - FINRA Doesn't Like Dinar Time
September 29, 2017 - Child Endangerment Defendant Barred By FINRA
September 28, 2017 - FINRA Bars Rep For Arbitration Perjury
September 27, 2017 - UBS Employee Padussis Wins Best Left Unsaid Arbitration
September 25, 2017 - Lawyers Cast Aspersions In Nasty FINRA Arbitration Involving Divorced Couple
September 22, 2017 - TD Ameritrade Acquires Scottrade Subject To Outdated NASD Rules
September 21, 2017 - Wachovia Customer Sues Wells Fargo Over FundSource Losses
September 20, 2017 - Harbour and Geneos Customers Win FINRA Arbitration Against Stockbroker
September 19, 2017 - Starship Enterprise, Lone Ranger, Tonto, Silver, Pumpkin Spice Latte, And FINRA Settlement
September 18, 2017 - BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
September 16, 2017 - The Elderly and Blind Customer, The Stockbroker, The Joint Account, and 2 Apartments
September 14, 2017 - FINRA Arbitrator Unimpeded By Defaulting Brokerage Firm
September 13, 2017 - RBC Stockbroker Father Died and His Son Inherits Unhappy Customer
September 12, 2017 - Stockbroker Refunds Commissions To Unhappy Morgan Stanley Customer
September 11, 2017 - How Long Has This FINRA Violation Been Going On?
September 8, 2017 - Veteran Sues USAA Investment Mgmt Over Alleged Mental Disability
September 7, 2017 - The Merry-Go-Round of FINRA Reform. This Time It Won't Be Any Different Again
September 6, 2017 - PNC Loses Wrongful Termination FINRA Arbitration
September 1, 2017 - FINRA Arbitrators Rewrite Wells Fargo Termination Language
August 31, 2017 - Turning Right Is Wrong At FINRA Red Light
August 30, 2017 - What's the Frequency FINRA?
August 25, 2017 - Sewage Release By Wall Street Regulators
August 24, 2017 - FINRA Public Customer Arbitration Decision Becomes A Legend
August 23, 2017 - STEPHEN A. KOHN Wins Three-Way Race for 2017 FINRA Small Firm Governor
August 22, 2017 - Zombie Customer Complaint Will Not Die After 35 Years
August 22, 2017 - Stifel Prevails In Arbitration But Former Hilltop Employees Hit With Awards
August 21, 2017 - Negligent Market Manipulation In OTC Stock Promotion
August 18, 2017 - A Stockbroker, Her LLC, And Her Customers' Loans (Or Investment?)
August 17, 2017 - VOTE FOR STEPHEN KOHN for 2017 FINRA Small Firm Governor
August 16, 2017 - SG Americas Employee Wins (Sort Of) FINRA Employment Arbitration
August 15, 2017 - Childbirth and Medical Emergency Impact FINRA Arbitration
August 14, 2017 - FINRA Felony Jigsaw Puzzle
August 10, 2017 - This Wall Street Train of Regulation Don't Pull No FINRA Winkers
August 8, 2017 - Opening Pandora's Box of Puts
August 4, 2017 - Chia Hair Plugs and 100% Principal Protected Lehman Brothers Notes
August 3, 2017 - Tullet Prebon Wins Blackballing Arbitration
August 2, 2017 - FINRA Gets One Last Slap in Marine Veteran's Face
July 31, 2017 - VOTE FOR STEPHEN KOHN for 2017 FINRA Small Firm Governor
July 28, 2017 - Employee Wins Over $1 Million In Fraudulent Inducement Hiring Case
July 28, 2017 - Bond Trader Barred by FINRA Wins Arbitration For Unpaid Wages
July 26, 2017 - Grassroots Movement to Revise FINRA Fine and Suspension of Richard Botkin
July 25, 2017 - FINRA 2017 Small Firm Governor Election Underway
July 24, 2017 - A FINRA JP Morgan Arbitration,Jamie Dimon's Embarrassment and Bill Singer's Apoplexy
July 21, 2017 - Elder Abuse Allegations Arise In Wedbush Arbitration
July 20, 2017 - $1 A Day Meal Expenses Brown Bags FINOP
July 19, 2017 - I Scream, You Scream, FINRA Screams for Ice Cream
July 18, 2017 - FINRA Arbitrators Okay Firing For Failure To Recognize Questionable Activity
July 17, 2017 - Stephen Kohn and Hugh Hewitt Champion Richard Botkin's FINRA Appeal
July 14, 2017 - The Customer Settles And The Stockbroker Wins An Expungement
July 13, 2017 - UPDATE: SEC Denies Wanger Re-Entry Into Industry
July 12, 2017 - Testing FINRA's Test Center Patience
July 11, 2017 - UPDATE: FINRA Rides The Thunder In Vietnam Movie Case
July 7, 2017 - FINRA Rides The Thunder In Vietnam Movie Case
July 6, 2017 - HSBC Securities Settlement Raises Questions About FINRA Examinations
July 5, 2017 - Wall Street Whistleblower Johnny Burris Speaks Truth to Power
June 30, 2017 - Rep Wins Expungement of 11 Year Old Complaint At Defunct Brokerage Firm
June 29, 2017 - FINRA Arbitrators Can't Explain
June 28, 2017 - SEC Settlement Cites Trading Ahead of Research
June 27, 2017 - FINRA Buries the Lede With FAS Rep Settlement
June 26, 2017 - South Park Gnomes' Underpants Scheme Inspires FINRA Arbitration Decision
June 22, 2017 - BREAKING NEWS: FINRA Wins Round One of Scottsdale 144 Case
June 21, 2017 - VXX Vice Versa Vexes Veteran Stockbroker
June 21, 2017 - FINRA Fines And Suspends Husband For Adding His Wife As Customer's Annuity Beneficiary
June 20, 2017 - Stockbroker and Wife Fake Statements For Home Loan
June 16, 2017 - Stephen Kohn and Jim Webb, Candidates for 2017 FINRA Small Firm Governor
June 15, 2017 - Dissenting FINRA Arbitrator Cries Out for Fairness After UBS Victory
June 13, 2017 - Sales Assistant and Broker Impersonate Client and Son
June 12, 2017 - FINRA's Foolish Inconsistency
June 9, 2017 - Message From Jim R. Webb, Candidate For 2017 Small Firm Governor
June 8, 2017 - FINRA Fines and Suspends Rep Over Savings Goals
June 7, 2017 - GUEST BLOG: Dinosaur in the Room by Stephen Kohn
June 5, 2017 - 2017 FINRA Small Firm Governor Petition Candidates
June 3, 2017 - Join the Battle to Reform Wall Street Regulation
June 2, 2017 - Bill Singer Submits Rare FINRA Comment
June 1, 2017 - Wipe Out! A FINRA Arbitration Hit By Two Groups
May 31, 2017 - Stephen A. Kohn For 2017 FINRA Small Firm Governor
May 30, 2017 - FINRA's Willy Nilly Tax Lien Settlements
May 25, 2017 - GUEST BLOG: At the SEC, One Year Equal 1,825 Days
May 22, 2017 - FINRA Says That's Not How To Keep HSBC Customers Satisfied
May 18, 2017 - Tell Me Why: Unanswered Questions In FINRA Expungement
May 17, 2017 - FINRA Arbitrators Sustain TD Ameritrade Margin Sell-Out
May 16, 2017 - The Elderly Edward Jones Client, His Account, His Will, His Stockbroker, and The Broker's Wife
May 15, 2017 - Did FINRA Respondent Beg, Steal, or Borrow?
May 12, 2017 - Customer Loses $6.6 Million VirnetX Case Against JP Morgan
May 11, 2017 - Edward Jones Loses Trade Secrets Arbitration
May 10, 2017 - FINRA Hoisted With Its Own BrokerCheck Petard
May 9, 2017 - A Truce Just About Does It In Schwab Solicitation Case
May 8, 2017 - Stunning $413,000 Award to Wells Fargo Employee in Broker Protocol Case
May 5, 2017 - FINRA Arbitrator Tosses Stale Wells Fargo Customer Case
May 4, 2017 - PNC Employee Wins $1.8 Million Wrongful Termination Award
May 2, 2017 - Stockbroker Expunges Complaint About Profitable Investment
May 1, 2017 - GUEST BLOG: Are Decepticons Duplicitous? by Stephen Kohn
April 28, 2017 - Misconduct Bricks In FINRA Wall of Statutory Disqualification
April 26, 2017 - FINRA's Three Handed Monster of a Settlement
April 25, 2017 - Merrill Lynch Employee Flies First Class After Mystery Man Misuses Corporate Card
April 21, 2017 - FINRA Settles With Advisor Who Acted as POA and Health Surrogate
April 18, 2017 - Citigroup, Its Former Employee, A Breached Contract, Six Blind Men, One Elephant, and FINRA Arbitration
April 17, 2017 - FINRA Arbitrators Find Everyone At Fault In Customer Case
April 14, 2017 - FINRA Fines and Suspends Rep For Customer Borrowing
April 13, 2017 - FINRA Fines And Suspends Merrill Rep For Altering Client Documents
April 12, 2017 - FINRA Settles With Merrill Lynch Rep Who Tried To Sell Customer Information
April 11, 2017 - Decepticons Invade FINRA As Nationwide Email Program Reload Fails
April 10, 2017 - GUEST BLOG: Flawed Attempt for a Good Idea
April 7, 2017 - Edward Jones Customer Fully, Finally, and Forever Settles But Wants A Second Bite
April 4, 2017 - Broker Wins Expungement of Deceased Customer's 13-Year-Old Complaint
April 3, 2017 - Expunging Customer Dispute Information Under FINRA Rule 2080
March 29, 2017 - Where There's Willfulness There's No Way At FINRA
March 28, 2017 - Bill Singer Analyzes FINRA Expungement Rules 2080 and 2081
March 27, 2017 - Invesco Loses FMLA Wrongful Termination Case
March 22, 2017 - FINRA Rule 8312: The Indecipherable Swamp of BrokerCheck
March 21, 2017 - Damnable Costs of FINRA Expungement
March 20, 2017 - JP Morgan And FINRA Connect The Dots When It Matters
March 17, 2017 - Chile Client Cases Chill FINRA
March 16, 2017 - Inconsistent FINRA Findings of Willful Nondisclosure Persist
March 13, 2017 - FINRA Cites Pennystock Sales By Feltl Rep While Customers Buying
March 10, 2017 - Life Insurance, Wife Insurance, and FINRA Life Settlement Regulation
March 9, 2017 - Public Customer Sues Merrill Lynch for $7.3 Trillion
March 8, 2017 - Bill Singer Pans FINRA AWC Peeps Protocol
March 7, 2017 - The Dead Customer, Her Son, Trading Losses, and Stockbroker's Expungement
March 3, 2017 - FINRA Arbitration Panel Asks: Bueller? Bueller??
March 1, 2017 - FINRA, Wells Fargo, and the Victimized 93 Year Old Investor
February 28, 2017 - FINRA Expungement Arbitration Is A Tale Told By An Idiot
February 21, 2017 - Sharemaster, Howard Feigenbaum and Johnny Burris Battle Wall Street's Goliaths
February 20, 2017 - Sharemaster Becomes the Beastmaster of FINRA and SEC
February 17, 2017 - The Will, Disabled Aunt, Stepkids, Executor Nieces, And Stockbroker
February 14, 2017 - NASD Charges Member For Pursuing Research Biz. Or Was That FINRA?
February 9, 2017 - Google Subpoena Withdrawn in Brummer v. Wey Defamation Case
February 7, 2017 - Heritage Foundation Releases Landmark Report on FINRA
February 2, 2017 - FINRA Asks Where Was Reasonable Supervision. But Where Was FINRA?
February 2, 2017 - Subpoena Served on Google in Brummer v. Wey Defamation Case
January 31, 2017 - FINRA Arbitration Saga Of the Unnamed and Unheard Lands in Federal Court
January 27, 2017 - Stockbrokers, Spouses, Marriage, and Away Accounts
January 26, 2017 - SEC Slams Brakes On FINRA In A Hurry To Get Things Done
January 25, 2017 - Stockbroker Back Dated Audited Partnership Agreements For Tax Preparer Clients
January 23, 2017 - FINRA NAC Member Brummer Files Amended Defamation Complaint
January 19, 2017 - Stockbroker Impersonations Prompt FINRA To Ask Who Are You
January 17, 2017 - FINRA Says Call It A Loan On A Debt That You Owe
January 13, 2017 - Tax Liens and Wall Street Disqualification
January 12, 2017 - FINRA Arbitrators Slam Wedbush In Pay Dispute
January 10, 2017 - FINRA Arbitrators Rewrite Mutual of Omaha Form U5 Termination Comment
January 5, 2017 - Citigroup Wins Stale FINRA Customer Suitability Arbitration
January 4, 2017 - A FINRA Settlement Asks How Long Is Too Long? When Is Enough Enough?
January 3, 2017 - FINRA Rule 3270 Outside Business Activities Analysis by Bill Singer
January 2, 2017 - FINRA Rule 3280 Private Securities Transactions Analysis by Bill Singer
December 30, 2016 - 5 Years Later: The Politics of Wall Street Regulation Is Unabated
December 28, 2016 - UPDATE: Scottsdale Sues FINRA In Edgy Effort To Halt Disciplinary Case
December 27, 2016 - FINRA Panel Sides With Zions Direct In Employee Bidding Policy Wrongful Termination Case
December 22, 2016 - SEC Shuts Down RIA Cherry Picking
December 21, 2016 - Confusing Customer Conversion Case Confounds FINRA
December 19, 2016 - SEC Charges Adviser Stockbroker With Wheel Turnin' Round And Round Fraud
December 16, 2016 - Edward Jones Discriminated Against Female Employee
December 14, 2016 - Two Bit Explanation In $4 Million Morgan Stanley Employment Arbitration
December 13, 2016 - Donald Trump, Boeing, And FINRA Fixed Income Fair Charges
December 12, 2016 - Stockbroker Repays Client Loan But Ends Up In Trouble
December 9, 2016 - Stockbroker Excel Error And Clients Liquidation Losses
December 8, 2016 - The Some and Almost All Of A FINRA Unauthorized Discretion Settlement
December 6, 2016 - Stockbroker Goes Aground on FINRA Day Trading Endeavor Bar
December 2, 2016 - What The Hell Does It Take For FINRA To Bar A Stockbroker?
November 29, 2016 - Bill Singer Dissects FINRA's Acceptance Waiver and Consent Settlement (AWC)
November 28, 2016 - Former Wells Fargo Rep Shocks Firm With Her Stunning Arbitration Win
November 21, 2016 - Whatcha See is Whatcha Get In FINRA Settlement
November 16, 2016 - FINRA Faked Out By Move
November 14, 2016 - FINRA Settles Non Disclosure Of Tax Liens Without Finding Willfulness
November 11, 2016 - Godzilla, Frankenstein, tradeMONSTER and Not So Obvious Error
November 10, 2016 - Merrill Lynch Defamation Ruins Stockbroker Career
November 9, 2016 - Trade Error Haunts Stockbroker
November 8, 2016 - Wells Fargo Shocked By Employee Theft
November 4, 2016 - FINRA Sanctions Lack of Proactive Compliance
November 3, 2016 - Dementia At Issue In Wells Fargo Arbitration
November 2, 2016 - Wage Garnishments Are FINRA Smoke Signals
November 1, 2016 - Wanton Disregard Cited In FINRA Raiding Arbitration
October 27, 2016 - Imposter Plays Flag Football With Broker Dealer Wire Transfer
October 25, 2016 - The Chief Compliance Officer, The Taxman, And FINRA
October 24, 2016 - Majestic FINRA Customer Arbitration Decision Grapples With Non Lawyer Role
October 21, 2016 - Merrill Lynch KO'd In $1.6 Million Note Arbitration
October 18, 2016 - Veteran Wall Street Critic Bill Singer Slams FINRA Expungement Process
October 17, 2016 - Defunct Broker-Dealer Loses No-Show Arbitration With Non-Lawyer
October 13, 2016 - FINRA Bars Two Brokerage Employees For Bogus Business Expenses
October 12, 2016 - Caveat Emptor Proves True In Purchase Of Troubled Broker Dealer
October 11, 2016 - Schwab Sues Customer In Stock Options Dispute
October 10, 2016 - Wall Street Regulation Understood Backwards
October 7, 2016 - Citigroup Senior Trader Cooks The Books Over Bonus
October 6, 2016 - Lo And Behold: Wells Fargo Claws Back Manager Compensation
October 5, 2016 - Texas State Senator Rodney Ellis Wins FINRA Employment Arbitration
October 4, 2016 - Veteran Wall Street Lawyer Bill Singer Cracks FINRA Code of Secrecy
October 3, 2016 - WTF? FINRA AWC OBA LPL RS CK
September 30, 2016 - Customer Twice Victimized By Broker's Impersonation and Online Disclosure
September 29, 2016 - NY Life Rep Crosses Arbitration Rubicon With Expungement Case
September 28, 2016 - Sportspicks.com Founder Loses FINRA Regulatory Wager
September 27, 2016 - Stockbroker Slips Off Plymouth Rock Movie Studio Deal
September 22, 2016 - Wells Fargo's Stumpf Stumbles And FINRA Fumbles
September 21, 2016 - Defamed PNC Employee Wins Dramatic Expungement
September 20, 2016 - PNC and Wells Fargo Stockbroker Wins Customer Complaints Expungement
September 19, 2016 - GUEST BLOG: Who Is A Customer For Purposes of FINRA Arbitration Rule 12200 by Martin P. Unger Esq
September 16, 2016 - Town Treasurer, Brokerage Financial Principal, Forged Checks, and Heroin for Sex
September 15, 2016 - Former Schwab Stockbroker Obliterates Firm In Wrongful Solicitation Case
September 14, 2016 - Ex-Wife Sues Wells Fargo Stockbroker Over Expert Witness Role In Divorce
September 13, 2016 - FINRA Tells Stockbroker He's Through After Firm Pays His Bills
September 12, 2016 - Fired Nationwide Rep Wins FINRA Expungement
September 7, 2016 - Career Skid Marks Left By Altered Auto Insurance Declaration Page
September 6, 2016 - California Court of Appeal Says FINRA Expungement Hearing Unfair
September 1, 2016 - The Gilligan's Island Iliad Odyssey of a FINRA Customer Arbitration
August 30, 2016 - FINRA Protective Order Addresses Private Confidential Information (PCI)
August 25, 2016 - FINRA Arbitration Soccer Match Ends With Penalty Kicks
August 24, 2016 - FINRA Settlement Enters the RIA and BD Jungle
August 23, 2016 - I Don't Want To Miss A Thing In Customer's Armageddon FINRA Arbitration
August 22, 2016 - Did You Hear The One About The Solicited Order that Got Marked Unsolicited?
August 19, 2016 - Stockbroker Fined and Suspended For Unpaid Oral Customer Loan
August 17, 2016 - Non-FINRA Employment-Loan Lender Ordered to Arbitration By NYS Appellate Court
August 12, 2016 - Foreign Associates Cause FINRA Headache For US Brokerage
August 11, 2016 - The Stockbroker, Her Cancer Patient Friend and Customer, And The Estate Complaint
August 10, 2016 - FINRA Pulls Over JP Morgan Broker In Luxury Car Biz
August 9, 2016 - Banker Broker Barred Over Rebate of Overdraft Fees
August 8, 2016 - Morgan Stanley Humiliated in $10 Million Employee Loan Arbitration
August 5, 2016 - Double Trouble On Wall Street
August 4, 2016 - Citigroup Investment Banker Punished by FINRA for Good Deeds?
August 3, 2016 - The Stockbroker, The Barred Customer, And The Sister-In-Law's Company
August 2, 2016 - FINRA Fines and Suspends Broker For Role As Real Estate Agent
August 1, 2016 - FINRA Says It's A Matter of Trust Or Is That Trustee?
July 29, 2016 - Brokerage Firm Demands $2.6 Million Damages From Former Employees
July 28, 2016 - Time And Chance on Wall Street And A Customer's Belated Arbitration Complaint
July 27, 2016 - Lawsuit Pits Wrongful Termination Against Hyped Trailing Revenues
July 26, 2016 - Wells Fargo Customer Wins $181,000 For Failure to Cash Out
July 25, 2016 - Earn Reward Points in Ticket Biz Scam With 25 Bogus AMEX Cards
July 20, 2016 - Secret Customer Settlement Gets Stockbroker Fined and Suspended
July 13, 2016 - Bill Singer Supports ROBERT MUH for 2016 FINRA Small Firm Governor
July 11, 2016 - A Message From STEPHEN KOHN Candidate for 2016 FINRA Small Firm Governor
July 11, 2016 - A Message From ROBERT KEENAN,Candidate for FINRA Small Firm Governor
July 8, 2016 - Customer Lays $10 Million Egg in Charles Schwab Arbitration
July 7, 2016 - Support ROBERT MUH for FINRA Small Firm Governor
July 5, 2016 - Get On Board With New FINRA Rule 2273 Before You On-Board Registered Reps
July 1, 2016 - Pro Se Stockbroker Wins $435,000 Award In Defamation And Termination Case
June 30, 2016 - Lonely Game of Masquerade As FINRA Hides Two Entire Countries
June 29, 2016 - Wedbush Ordered to Pay Attorneys Fees After Untimely Payment of Attorneys Fees
June 28, 2016 - The Husband's IRA, The Ex-Wife, The Forgeries, The Withdrawals, And The Lawsuit
June 23, 2016 - Take What You Have Gathered From Coincidence In Oral Advisory Fee Agreement
June 22, 2016 - FINRA Mixed Message About Inflating Sales And Trades
June 20, 2016 - Former UBS Securities Employee Wins $2.3 Million In Wrongful Termination Case
June 17, 2016 - IRS Says FINRA Schrodinger Cat Has Three Lives
June 16, 2016 - Bill Singer On New FINRA CEO Robert Cook
June 15, 2016 - CCO Fined and Suspended For Missing Private Securities Transaction
June 14, 2016 - BrokerCheck Dispute Says FINRA Wrongly Says SEC Bar is Permanent
June 9, 2016 - Rep Says Merrill Lynch Failed to Enroll Him In Deferred Comp Plan
June 7, 2016 - Dirty Deeds Done Dirt Cheap On Wall Street
June 2, 2016 - UBS Reversed $5 Million Unauthorized Order
June 1, 2016 - Love And Marriage On Wall Street
May 25, 2016 - FINRA Publishes Mitigation Statement in Elderly Client Conversion Case
May 23, 2016 - UBS and Wells Fargo Wage Thumb Drive Warfare
May 20, 2016 - Ameriprise Stockbroker Altered and Concealed Evidence in Consumer Arbitration
May 19, 2016 - Wedbush Didn't Know What It Lost Till Its Employee Was Gone to Stifel
May 16, 2016 - Wells Fargo Employee Withdraws Money From Customers ATM Accounts
May 13, 2016 - Online Microcap Finder Fee Platform Raises FINRA Regulatory Concerns
May 12, 2016 - FINRA Sanctions Stockbroker's Loans From Mom, Friend and Friend's Wife
May 11, 2016 - FINRA Wins Scottsdale Capital Advisors Motion to Dismiss
May 9, 2016 - Female Completed Continuing Ed for Male Supervisor
May 9, 2016 - Mom, Sister-In-Law, Two Brothers, and Stock Proceeds
May 6, 2016 - Half Baked Apple REIT Case Dismissed Against David Lerner Associates
May 5, 2016 - Morgan Stanley Goes After Former Emploiyee Who Joined LPL
May 4, 2016 - How Can I Be Sure In A FINRA World That's Constantly Changing?
May 2, 2016 - Janney Montogmery Scott Loses Promissory Note Arbitration
April 29, 2016 - FINRA Sanctions Firm and CCO in Texting Settlement
April 28, 2016 - Approved Outside Business Activity Morphs Into A Troubling Private Securities Transaction
April 27, 2016 - Dissecting FINRA's Acceptance, Waiver, and Consent Settlement (AWC)
April 18, 2016 - Suspended HSBC Rep Pasted Clients Names Over His Utility Bill
April 15, 2016 - E*Trade Employee Wins Form U5 Expungement
April 14, 2016 - Broker Protocol Cited In Bonus Retention Lawsuit
April 13, 2016 - The Bank Branch Manager, The Purported Customer, and the IRS Bounced Check
April 11, 2016 - My Baby Sent Me A Letter But My Client Didn't
April 8, 2016 - Wall Street Banker's Travel Expenses Send Career Into Ditch
April 6, 2016 - FINRA Arbitrators Deal With Vague And Ambiguous Employment Agreements
April 1, 2016 - Customers Sue Ameriprise Over African Mining Stock In Their IRAs
March 31, 2016 - A Stockbroker, His Former Customer, A Restaurant, And The New Face of Wall Street Regulation
March 30, 2016 - Scottsdale Sues FINRA In Edgy Effort To Halt Disciplinary Case
March 28, 2016 - Wall Street Employee Fined and Suspended For Being In 2 Places At Same Time
March 21, 2016 - FINRA Cites Firm and Director For Email Supervision
March 18, 2016 - Beal Street Blues After Employee Wins Unpaid Bonuses
March 17, 2016 - Brummer Versus Wey Defamation Case Moves Forward, Sort Of
March 16, 2016 - Curious Case Of A Wall Street Wrongful Resignation Lawsuit
March 14, 2016 - $30 Million Claims By Former Wells Fargo Broker And Customer
March 11, 2016 - Rochdale and Pershing Slugfest In $45 Million Rogue Trader FINRA Arbitration
March 9, 2016 - Oh!!! Unauthorized Trading, Patti O'Furniture, And FINRA's BrokerCheck
March 3, 2016 - LPL Loses Dramatic Employee Defamation Case
February 29, 2016 - Borrowing From Customer, Tax Liens, Settling Away,Social Media, And More!
February 26, 2016 - Customer Gifts Shares To UBS Broker. FINRA Gifts Fine and Suspension to Rep
February 24, 2016 - Oral Discretion Isn't Worth The Paper It's Not Written On
February 19, 2016 - US Bancorp Investments Employment Dispute Ends With Mixed Result
February 11, 2016 - FINRA Statement of Corrective Action Defamation Lawsuit Slams Brokerage Firm
February 5, 2016 - Morgan Stanley Hit With Punitive Damages In Customers Arbitration
February 4, 2016 - Brokerage Firm Censured and Fined for Undetected Statutorily Disqualified Rep
February 3, 2016 - FINRA Impounds Stockbroker Over Used Car Biz Loans From Customer
February 1, 2016 - Federal Appeals Court Says Mandatory FINRA Arbitration Isn't Necessarily So
January 29, 2016 - FINRA Email AWC Raises Question About Regulatory Hypocrisy
January 29, 2016 - Bill Singer Slams FINRA Ameriprise Arbitration Decision For Lack of Content and Context
January 28, 2016 - FINRA Fines and Suspends Stockbroker Over Executor Role
January 27, 2016 - FINRA Fines And Suspends Rep For Service as Director
January 22, 2016 - Stockbroker Alters Customer Phone Numbers and Email Addresses
January 14, 2016 - Butterfield Genie Back In The Bottle But Puzzling Promissory Note Lawsuit Remains
January 13, 2016 - Mexico Security Concerns Posed Postal Risk For Brokerage Customer
January 11, 2016 - Rude And Divisive Barclays Employee Loses Note Case
January 8, 2016 - Macquarie Pays $2.95 Million Blue Sheets Fine
January 6, 2016 - Did Registered Rep Voluntarily Quit Or Was She Fired? Arbitrator Says Neither.
January 4, 2016 - Lord Voldemort, Merrill Lynch, Bank of America, and FINRA
December 30, 2015 - FINRA and Smarsh Prevail In Spoliation Case
December 28, 2015 - Merrill Lynch Stockbroker Beats Wells Fargo In Employment Dispute
December 23, 2015 - Merchant Suckers, Whore, and Little Bitch In FINRA Arbitration
December 16, 2015 - The Merrill Lynch Stockbroker, the Deceased Mom, Her Son, And Transfer On Death
December 14, 2015 - Digital Double Dip Tried With Wall Street Paychecks
December 11, 2015 - FINRA Jurisdiction Over Insurance Agent Activity Challenged In SEC Appeal
December 9, 2015 - Morgan Stanley Wins Promissory Note Arbitration Against Former Employee
December 7, 2015 - That Customer Complaint May Not Be A FINRA Reportable Event
December 4, 2015 - One Singular Registered Sensation In FINRA Chorus Line Settlement
November 30, 2015 - Mutual Funds and Annuity Disputes Fuel Customers FINRA Arbitration
November 20, 2015 - Stockbroker Fined And Suspended In Email Transfer of Customer Info From Merrill To Ed Jones
November 18, 2015 - CASE IN POINT Video Interview with host BILL SINGER and guest Brittany Weiner, Esq.
November 17, 2015 - Echoes of A Stockbroker's Mind For A Hacker On A Wire
November 9, 2015 - VXX Vapid Hedge Rubs FINRA The Wrong Way
November 5, 2015 - Compliance Advisor Fined and Suspended For Falsifying Data
November 2, 2015 - Blank Checks From Elderly Couple Checkmate Stockbroker's Career
October 30, 2015 - FINRA Complains About CCO Complaint Reporting
October 29, 2015 - Down-Low Download Of Contact Information Sends Stockbroker Offline
October 28, 2015 - Brokerage Customer Sues Because X Minus X Equals Zero
October 26, 2015 - RBC In Breathless Arbitration Over Zombies And Beauty Parlor Fumes
October 22, 2015 - FINRA Hearing Panel Dismisses Private Offering Case
October 16, 2015 - Sad Saad Saga Sought Second SRO / SEC Shot
October 15, 2015 - A Little Biz On The Side Gets Rep Fined And Suspended
October 14, 2015 - Morgan Stanley Client Service Associate Trips Over Wire Request
October 8, 2015 - UPDATE: Federal Appeals Court Reverses Goldman Sachs Arbitration
October 2, 2015 - SEC Rejects Appeal By Failed Buyer of FINRA Broker Dealer
October 1, 2015 - Another Wall Street Fall Girl Takes A FINRA Flop
September 25, 2015 - Walking Through the FINRA Expungement Process
September 24, 2015 - Morgan Stanley Gives Employees Arbitration Choice: Say Nothing And You're Enrolled
September 23, 2015 - Ameriprise Inexplicably Loses Promissory Note Case
September 21, 2015 - HSBC Stares Into The Eye of the Tiger And Blinks
September 18, 2015 - FINRA Fines UBS Over Bloomberg Messages
September 16, 2015 - Things Get Waaaay Worse for Wey UPDATE
September 11, 2015 - Stockbroker Exonerated After Nephews and Niece Accuse Her of UTMA Fraud
September 11, 2015 - Man Bites Dog. Stockbroker Lends Money To Customer.
September 10, 2015 - Stockbroker Wins Expungement Over Annuities
September 4, 2015 - Stockbroker Fired and Barred For Role With Privately Held Company
August 24, 2015 - Stockbroker Wins Customer Expungement Arbitration
August 21, 2015 - FINRA Rules 8210 and 9552: The Costs On Not Responding
August 20, 2015 - FINRA's Acceptance, Waiver, And Consent Settlement (AWC) by Bill Singer
August 19, 2015 - FINRA Jams Ditto Copying of Trades
August 17, 2015 - 7 Year Arbitration Saga Ends In Ashes For Public Customers
August 13, 2015 - UPDATE 2: Law Professor FINRA NAC Member Files Defamation Complaint
August 12, 2015 - Former Deutsche Bank LatAm Transactions Head Wins Millions In Whistleblower Retaliation Case
August 10, 2015 - UPDATE: Former Stockbroker Sues FINRA Over Online Disclosure of 18 Year Old Settlement
August 7, 2015 - Morgan Stanley Hit With Punitive Damages In Customer Arbitration
August 5, 2015 - FINRA Bars Top Producer For Charging Commissions Instead Of Fees
August 3, 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 - Stockbroker Discharged, Suspended, and Fined Over $100,000 Customer Loan
July 27, 2015 - 30 Year Veteran RR Sues Former Brokerage Firm In Compensation Dispute
July 24, 2015 - Software Glitch Overwhelms Firm's Email Review
July 23, 2015 - Major Fine Slams FINRA Firm For Supervisory Violations
July 22, 2015 - Court Sends $700,000 Employee Note Dispute To Arbitration
July 17, 2015 - Stockbrokers Sue Customer Over Unpaid Margin Debit
July 16, 2015 - FINRA BrokerCheck Under Attack By Investor Advocates
July 15, 2015 - 1 Registered Rep, 5 Days, and 9 NSF Checks
July 10, 2015 - Stockbroker Husband Signs Insurance Loan for Wife But She Denies Authorization
July 9, 2015 - Prop Trader Takes FINRA To The Mat And Wins
July 8, 2015 - Former Employee Sues Firm For Unpaid Commissions
July 6, 2015 - Third Party Wires Clothesline Scottrade In FINRA Settlement
July 1, 2015 - Law Professor FINRA NAC Member Files Defamation Complaint
June 29, 2015 - Honor System Fails In FINRA Email Settlement
June 25, 2015 - Undisclosed Customer Complaints Cited In FINRA Arbitration
June 24, 2015 - Time Has Come Today In Stockbroker Expungement
June 24, 2015 - Wall Street Sales Assistant Scams 3 Years of Reimbursed Expenses
June 19, 2015 - All Or None Escrow Mess Seems A Hopeless Situation
June 18, 2015 - Stockbroker Impersonates Customers During Phone Calls
June 11, 2015 - Nasty FINRA Lawsuit Gets Nastier
June 10, 2015 - Fines and Suspensions For Brokers In Sales Quota Sham
June 8, 2015 - Failed Email Review Offers Example Of Hidden Compliance Costs
June 5, 2015 - Computer Glitch Overpays Stockbroker's Commissions
June 3, 2015 - Lost Lavatory Laptop Lands Sterne Agee In Crapper
June 1, 2015 - Study Guide Fails A Wannabe Stockbroker
May 29, 2015 - FINRA Says Charity Does Not Begin At Home
May 28, 2015 - FINRA Wrestles With Serious,Aggravating, And Egregious Filing Failures For Forms U4 and BD
May 14, 2015 - The Stockbroker,The Compliance Officer,The Dead Customer And The Accommodation Forgery
May 13, 2015 - Sympathy For The Bankruptcy Devil In A FINRA Arbitration
May 8, 2015 - Wells Fargo Defrauded By Online Dating Check Scam
May 7, 2015 - Bank of America Shows That Wall Street Regulation Stinks From The Head Down
May 6, 2015 - FINRA Moves to Dismiss Spoliation Claims
May 5, 2015 - What A Difference A Day Makes For Leveraged ETFs
May 4, 2015 - Unapproved USB Use Upsets UBS
April 27, 2015 - FINRA Named As Defendant In Case Alleging Altered Electronic Files
April 24, 2015 - FINRA Arbitrators Expunge Customer Settlement Contribution From Merrill Lynch Broker
April 22, 2015 - Stockbroker Denied Expungement In Suitability and ETF Arbitration
April 20, 2015 - FINRA Arbitrators Say Ineffective Fiduciary Did Not Breach Fiduciary Duty
April 17, 2015 - SEC ALJ Corrects Dollars And Dates But Not Derision
April 15, 2015 - Battle Royal In FINRA Arbitration Steel Cage Match
April 10, 2015 - Regulatory Checkmate For Stockbroker
April 8, 2015 - FINRA Puts The Pedal To The Metal In Truck Sale Gone Bad
April 3, 2015 - The 100 Year Old Beneficiary, The Stockbroker Trustee, And The Current Former Customer
April 1, 2015 - Stockbroker Fined And Suspended For Undisclosed Insurance Biz
March 30, 2015 - FINRA Suspends Broker Over Repaid Customer Loan
March 27, 2015 - optionsXpress Out Of Email Options
March 26, 2015 - Customer Wins $378,000 in Ultra Short ETF Lawsuit
March 23, 2015 - Merrill Lynch Blindsided By Former Employee In Promissory Note Case
March 20, 2015 - SEC Grants FINRA An Extraordinary Voluminous Extension
March 19, 2015 - The Amazing Mobius Strip Of Wall Street Regulation
March 18, 2015 - Former Lek Employee Suspended For Taking The Fifth At FINRA
March 16, 2015 - FINRA Fines Firm For Miscommunication Between Compliance And Payroll
March 13, 2015 - Schwab Seeks $6 Million In Solicitation Dispute
March 12, 2015 - SEC Declines To Stay FINRA Bars Pending Appeal
March 11, 2015 - Stockbroker Sues Non Customer Customer Over Unproven Promissory Note
March 9, 2015 - Online Coupon Business Cuts Registered Person
March 6, 2015 - Former Hartford Securities Rep Demands Over $10 Million In Damages
March 5, 2015 - Supervisor Fined, Suspended, and Barred In Ponzi Fiasco
March 4, 2015 - Office Condo LLC and Residential Property LLC Add Up To Outside Business Violations
March 2, 2015 - After Credit Card Expense Suspension, Stockbroker Barred By Liens And Judgments
February 27, 2015 - SEC Nixes Reconsideration Of FINRA Client Files Case
February 25, 2015 - FINRA Wins Discrimination Retaliation Lawsuit
February 23, 2015 - Broker Wins FINRA Arbitration Expungement
February 20, 2015 - Former Stockbroker Sues FINRA Over Online Disclosure of 18 Year Old Settlement
February 19, 2015 - A Purloined Letter Challenges Wall Street To Adapt
February 18, 2015 - Stockbroker Does Not Get Buy With A Little Help From His Friend
February 13, 2015 - Stockbroker Selfies Are Regulatory Negatives
February 12, 2015 - A Tale Of Two Wall Streets And FINRA's Disparate Sanctions
February 11, 2015 - An IRA, A Husband's Death, A Beneficiary Wife, And Two Regulators
February 9, 2015 - UBS Stockbroker Expungement in Lehman Bond Case
February 6, 2015 - Is FINRA Actin' Kinda Shady In Naming (Or Not) Banks?
February 5, 2015 - Online App Biz Clicks Registered Rep Into OBA Trouble
February 4, 2015 - Lawsuit Says FINRA Guilty of Deliberate, Retaliatory,and Malicious Conduct
February 2, 2015 - Elderly Sugar Daddy, His Young Thing, And His Banker / Broker
January 30, 2015 - Unreasonable AML Policies Cited In Trading Platform Fraud
January 29, 2015 - Wells Fargo Associate Duped By Email Scam
January 28, 2015 - Chinese Pharma Private Securities Transactions
January 23, 2015 - The Butcher, Baker, Candlestick Maker and Wall Street CPA
January 22, 2015 - What The Hell Is A Preferred Alternative Allocation?
January 20, 2015 - Stockbroker Clocked For Untimely Reporting of Bankruptcy
January 16, 2015 - Jenny Don't Change, Rikki Don't Lose Your Clients' Numbers
January 15, 2015 - Stockbroker Fined And Suspended For Loan To Customers
January 12, 2015 - Lien-ing Tower Prompts FINRA Fine And Suspension
January 9, 2015 - FINRA Email Settlement Raises More Questions Than Answers
January 8, 2015 - If 6 Was 9 And An 80 On the 7 Turned Up To Be 70
January 7, 2015 - Stockbrokers Borrow From Customers For Car and Condo
January 5, 2015 - Dissecting FINRA's Acceptance, Waiver, and Consent Settlement (AWC)
January 2, 2015 - RBC Ordered To Expunge DOJ References From U5
December 31, 2014 - Customer Side Jobs Earn Broker Fine And Suspension
December 29, 2014 - FINRA Faults Friendship Funding
December 29, 2014 - Customer Loans Earn Broker A Fine And Suspension
December 26, 2014 - Terminally Ill Customer's Executors Sue Ameriprise Over Cash Contributions
December 22, 2014 - Email Request For A Wire Clotheslines Stockbroker
December 17, 2014 - Economic Suicide Raised In Citigroup Settlement
December 15, 2014 - Military Veterans Win $7.5 Million Employment Dispute Against Goldman Sachs
December 12, 2014 - No-Call Customer Policy Cited In Fidelity Employment Dispute
December 8, 2014 - If Only You Believe in 1035 Exchange Miracles
December 5, 2014 - Suspended FINOP Becomes Regulatory Mess For CCO
December 3, 2014 - New Approach To Raising Wall Street Salaries
December 1, 2014 - Power of Attorney, Beneficiary, and Executrix Roles Slam Stockbroker
November 25, 2014 - FINRA Sanctions UBS Employees For Altered Records Part 3
November 24, 2014 - FINRA Sanctions UBS Employees For Altered Records Part 2
November 24, 2014 - FINRA Sanctions UBS Employees for Altered Records Part 1
November 24, 2014 - Registered Rep Sues Over Commission And Deferred Comp
November 21, 2014 - FINRA Says She's The Cheatin' Kind
November 20, 2014 - Father Promotes Son's Business And Wrinkle Cream
November 19, 2014 - Federal Court Kills PIABA FOIA SEC Demand For FINRA Records.
November 17, 2014 - BrokeAndBroker.com by Bill Singer WEEKLY REVIEW
November 15, 2014 - Medical Expenses,Condo Fees,and Loans From Elderly Customer Undo Stockbroker
November 14, 2014 - Stockbroker Suspended For Undisclosed Real Estate Biz And Customer Loans
November 13, 2014 - Key Witness Walks Out Of Finder Fee Arbitration
November 12, 2014 - The Mad Hatter, Alice, And The Sale Of A Stockbroker's Business
November 10, 2014 - Broker Barred Over Trades For Client With Dementia
November 7, 2014 - Registered Person Repeatedly Asked To Stop Using Gmail
November 6, 2014 - Engelbert Humperdinck Sings About Settling Wall Street Arbitration
November 3, 2014 - One Stockbroker's Four Away Accounts
October 31, 2014 - An Elderly Client, The Stockbroker's Wife, And Gifts Or Loans
October 29, 2014 - FINRA Getting Personal With Taxi And Meal Reimbursements
October 27, 2014 - Merrill Lynch, Edward Jones, Large Hotel Man, And Double Charges For A Few Glasses Of Wine
October 24, 2014 - FINRA Says A Tweet Is A Public Appearance
October 23, 2014 - Bill Singer Criticizes FINRA Outside Business Activity Case
October 22, 2014 - FINRA Alarm Bells Awaken Sleepwalking Supervisors
October 20, 2014 - FINRA Bars Female Sales Asst Instructed To Impersonate Customers
October 10, 2014 - $100 Million MBS Damages Sought From Wells Fargo and Deutsche Bank
October 9, 2014 - Barclays Promissory Note Arbitration Permits Video and Phone Testimony
October 8, 2014 - Tardy Customer Warps FINRA Arbitration Space Time Continuum
October 6, 2014 - Ameriprise Associated Person Sues Firm Over Unauthorized Risky Investments
October 3, 2014 - Analyst Swipes Away Career With MasterCard Charges
October 2, 2014 - Assistant Impersonates 6 Customers In Managed Funds Sales
September 26, 2014 - Trade Error And Citigroup's Dubious Loss Of Confidence
September 25, 2014 - Bonus And Severance Versus Employee Handbook
September 24, 2014 - Doctor, Doctor Give Me The News
September 22, 2014 - Citigroup Stockbroker Mauled In Strip Mall Deal
September 19, 2014 - SEC Commissioner Gallagher Says FINRA. Bill Singer Says Finito.
September 18, 2014 - Charity Begins At Home And JP Morgan Chase Bank
September 17, 2014 - A Matter Of Trust Falls Apart Over Oral Authorization
September 17, 2014 - FINRA Sued In Case Involving E*TRADE, Deceased Father, And Lost Inheritance
September 15, 2014 - Defamed Stockbroker Wins Arbitration Slugfest
September 12, 2014 - MS Patient Victimized By JP Morgan Employee
September 11, 2014 - Organized Crime Cited in FINRA Money Laundering Settlement
September 10, 2014 - FINRA Underpants Gnomes Miss Arbitration Phase 2
September 5, 2014 - FINRA Alleges Forged Electronic Signatures
September 4, 2014 - Undisclosed Customer Settlement By 3 Brokers Comes To Light
September 3, 2014 - Stockbroker Wins Expungement of 1990 Customer Complaint
August 29, 2014 - One Debit Card For The Plumber And One Toke Over The Line
August 27, 2014 - Big Guns Drawn In Controlled Arbitration Customer Experiment In Federal Court
August 25, 2014 - Stockbroker U5 Defamation And Wrongful Termination Case Backfires
August 21, 2014 - Hack Attack Hits UBS
August 21, 2014 - Securities Algorithm Didn't Compute For Finra
August 18, 2014 - BrokeAndBroker.com Blog by Bill Singer WEEKEND REVIEW
August 16, 2014 - Anticipating Stockbroker Fined For Taking Client Files Home
August 15, 2014 - Insurance Sales Software Crashes Stockbroker
August 13, 2014 - Elvis Presley Warns Elderly Customers To Have Suspicious Minds
August 11, 2014 - FINRA Arbitrators Punt When They Should Have Gone For It
August 8, 2014 - Stockbroker Charged With Outside Business Activity In Advisory Services Deal
August 7, 2014 - Tax Liens Earn Stockbroker Disqualification
August 6, 2014 - JP Morgan Customers Get Two Tickets To Paradise
August 4, 2014 - Fidelity Employees Caught In Expense Scams
August 1, 2014 - Raymond James Settlement Is Elusive Victory For Former Employee
July 31, 2014 - UPDATE: FINRA Arbitrators Award Punitive Damages For Fraud, Malice, And Bad Faith
July 30, 2014 - Chase Settles Termination Dispute With Revised U5 And Cash
July 30, 2014 - BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
July 26, 2014 - Schwab Accused Of Altering Client Forms In Options Trading Dispute
July 24, 2014 - Stockbroker Failed To Timely Disclose Attempted Child Rape Felony Charge
July 23, 2014 - Authorized Signing of Customer's Name Derails Stockbroker
July 21, 2014 - Stockbroker Whiffs On Three Email Strikes
July 18, 2014 - HNW Customer Complains, Firm Settles, Stockbroker Doesn't . . . Now What?
July 16, 2014 - Stockbroker's Restaurant Lands Him In FINRA Hot Soup
July 14, 2014 - Thunderation, What's The Matter With Lead Bullets?
July 11, 2014 - Now You CE It, Now You Don't
July 10, 2014 - The Analyst, His Lawyer Girlfriend, His Doctor Cousin, Las Vegas, and Insider Trading
July 9, 2014 - Edward Jones And Former Stockbroker Battle Over Customer Solicitation
July 7, 2014 - California Court of Appeals Reinstates $5 Million Award Against Morgan Stanley
July 3, 2014 - Broker Impersonates Sales Assistant And FINRA Not Amused
June 30, 2014 - The Curious Case Of An Ameriprise Office Manager
June 27, 2014 - Check Out Line Earns Stockbroker A Bar
June 25, 2014 - Elderly Chase Bank Customers Ripped Off
June 23, 2014 - Wall Streeters Say Give Me A Ticket For An Aeroplane
June 20, 2014 - Mimsy FINRA Borogoves Defeat Frumious Expungement Bandersnatch
June 19, 2014 - Marking At The Close Drills Stockbroker
June 18, 2014 - Private Securities Transactions And Tax Liens Trip Stockbroker
June 13, 2014 - JP Morgan Employee Gets Undue Credit Card Points
June 12, 2014 - Arbitrators Say Customer Was In Charge And Broker Just Took Orders
June 11, 2014 - $5 Million Sought For Wrongful Termination And Raiding
June 11, 2014 - Stockbroker Forges Signature Of Living And Dead Elderly Clients
June 6, 2014 - BS Breaks FINRA KH AWC Code
June 4, 2014 - FINRA Suspends CE Learner's Permit
June 2, 2014 - Stockbroker In Auction Rate Securities Expungement Quicksand
May 30, 2014 - Ex-Man Fights Superhero Battle For FINRA Expungement
May 29, 2014 - Check Kiting Hypocrisy Flies High At FINRA
May 23, 2014 - FINRA Expungement Puts Stockbroker In Marx Brothers Comedy
May 22, 2014 - Stockbroker Cited For Untimely Disclosure Of Settled Criminal Case
May 19, 2014 - SEC Commissioner Gallagher Takes A Sledge-O-Matic To Wall Street Regulation
May 16, 2014 - FINRA Says Brokerage Fee An Undisclosed Commission
May 15, 2014 - Great Recession Blamed For Customer Losses In Expungement Arbitration
May 12, 2014 - Law School Clinic Wins Annuity Arbitration For Public Customer
May 9, 2014 - Post Mortem Sales Dig FINRA Grave For Stockbroker
May 8, 2014 - Stockbroker Jumps The Gun As Continuing Ed Snags U4
May 7, 2014 - Repayment Of Wachovia Promissory Notes Cut In Wells Fargo Arbitration
May 5, 2014 - Troubled History Of Liens And Bankruptcies Disqualifies Stockbroker
May 2, 2014 - The Woman Who Never Was
May 1, 2014 - BS Muni Bond Scam Earns TS From FINRA
April 30, 2014 - FINRA Public Arbitrator Conflict Heads For Supreme Court
April 29, 2014 - Sports Celeb Burger Joint Fries Stockbroker
April 28, 2014 - Customer Loan Earns Stockbroker A Fine And Suspension
April 23, 2014 - Getting The Wall Street Girl To Do It
April 21, 2014 - Will This Tax Season Lien On You?
April 18, 2014 - The Old Cut And Paste Gets The Old UBS Heave-ho
April 17, 2014 - Mom, Her IRA, And Her Stockbroker Son
April 16, 2014 - UBS Associate Goes Through ARS Meat Grinder
April 14, 2014 - Citigroup Wins Split Decision In Promissory Note Collection
April 10, 2014 - E*TRADE Loses Apple Stock Sale Lawsuit
April 9, 2014 - FINRA Says Stockbroker Failed To Fail Exams
April 7, 2014 - 9th Circuit Reverses Goldman Sachs v. Reno
April 4, 2014 - Banker Signs Manager's Name For Returned Check
April 3, 2014 - Boiling Frog Theory Cooks Another Stockbroker In UGMA Waters
April 3, 2014 - Stockbroker Forgets Birthdate During Customer Impersonation
April 2, 2014 - The Idiocy Of A FINRA Expungement
March 27, 2014 - Lightspeed Registered Rep Snagged By Day Trading Commissions
March 21, 2014 - Elderly Client Annuity Beneficiary Changed And Stockbroker Suspended
March 20, 2014 - Ameriprise Customers Paid Broker's Credit Cards
March 20, 2014 - Life, Death, And Day Trading
March 19, 2014 - Broker Loses FINRA Appeal In Downloaded Customer Files Case
March 14, 2014 - Unjust Enrichment Found In Commission Skimming Dispute
March 13, 2014 - Signature Guarantee Misused On Faxed LOA
March 12, 2014 - Registered Person Wins Labor Law, Overtime, and Wage Case
March 7, 2014 - Pro Se Customer Slapped In FINRA Arbitration
March 6, 2014 - Firms Seek Injunction Against Customer Solicitation
March 3, 2014 - Raymond James Sale Of Practice Slugfest
February 28, 2014 - Riskless Principal Bond Trader Barred
February 27, 2014 - Merrill Lynch Employee Sought $23 Million Crown Jewel Account Damages
February 27, 2014 - Egregious Behavior Earns Stockbroker Punitive Damages
February 26, 2014 - Winery Sour Grapes Yield Outside Business Harvest
February 24, 2014 - Proctor Fraud Hits Life Underwriter Exam
February 20, 2014 - FINRA Arbitrators Award Punitive Damages For Fraud, Malice, And Bad Faith
February 13, 2014 - Federal Court Vacates Raymond James Retaliation Arbitration
February 10, 2014 - Public Customers Hit With Attorneys Fees In Arbitration
February 10, 2014 - Threats, Defamation, Dirty U5, EFL, LOA, VA, And Expungement
February 7, 2014 - Questar Wrongful Retaliation Case Settles With Expungement
February 6, 2014 - Untimely Disclosed Tax Liens Earn Broker Fine and Suspension
February 3, 2014 - Wedbush Stockbroker Suspended For Following Caregiver Instructions
January 29, 2014 - Merrimac Sunk In FINRA Arbitration Waters
January 24, 2014 - Merrill Lynch Whupped In Promissory Note Arbitration
January 23, 2014 - Former Domestic Partner of Stockbroker Gonna Getcha
January 22, 2014 - Lehman Brothers Tumblin Dice Promissory Note Cases
January 17, 2014 - Over $600,000 Stolen From Two Dozen Brokerage Customers
January 16, 2014 - Auction Rate Securities Arbitration Leads To Stockbroker Expungement
January 13, 2014 - A Perplexing $137,000 Award In $6 Million FINRA Arbitration
January 9, 2014 - Deutsche Bank Sales Assistant Takes Stockbroker Offline
January 8, 2014 - Broker Sends Email With Attached Excel Customer File
January 6, 2014 - Tepid FINRA Response To Forgeries Of Elderly Victims In Assisted Living
January 3, 2014 - Real Estate Loan Makes Hard Landing
January 2, 2014 - UBS Prevails in $500,000 Promissory Note EFL Arbitration
December 30, 2013 - Litigation After Death Haunts One Stockbroker
December 26, 2013 - Deutsche Bank Internal Training Program Circumvented
December 23, 2013 - Divorce, Bankruptcy, IRS Liens, Customer Complaints, And REITS
December 20, 2013 - Stifel Nicolaus Email Tested For Attorney Client Privilege And Work Product
December 18, 2013 - Where There's A Will There's No Way
December 13, 2013 - EIA Sales Deemed Outside Business Activity
December 6, 2013 - A Stockbroker's Health Club Proves Unhealthy
December 4, 2013 - Third Party Check In The Broker's Desk Drawer
December 2, 2013 - Six Business Meals That Weren't Give Broker Indigestion
November 25, 2013 - Broker Seeks $1 Million For Wrongful Discharge And Unpaid Christmas Bonus
November 22, 2013 - Customer Names Registered Person Out Of Frustration And Anger
November 21, 2013 - MetLife Broker Cut And Pasted Photocopied Customer Signature
November 11, 2013 - The Broker, His Wife, And Her Roth IRA
November 6, 2013 - Ten Years After Was A Rock Band And FINRA Felony Violation
October 31, 2013 - SEC Commissioner Aguilar Questions Oversight of SROs and Settlement Admissions
October 31, 2013 - Edward Jones Employee Loses U4 Expungement In Tax Lien Case
October 30, 2013 - Email Tales Of Exploding Chinese And Apple Through The Roof
October 28, 2013 - Leveraged And Inverse ETFs Snag Broker Dealer
October 25, 2013 - Edward Jones Broker Trips Over Outside Business and Private Transactions
October 24, 2013 - Check Kiting SunTrust Broker Compromises His Way Out Of The Biz
October 24, 2013 - Elderly Wells Fargo Customers Lose To Bank Shot
October 23, 2013 - Willful Nondisclosure Of Judgments Disqualifies MetLife Stockbroker
October 20, 2013 - Great Recession Blamed For Customer Losses
October 17, 2013 - Oppenheimer Loses Suitability Case
October 16, 2013 - Back Office Misinformation Vindicates Broker
October 11, 2013 - Imposter Prompts Citigroup Wire Transfer
October 11, 2013 - FINRA Says TS In Training Impersonation
October 10, 2013 - Merrill Lynch Petty Cash Xmas Theft
October 10, 2013 - Broker Dealer Handling Fee Is Disguised Commission
October 9, 2013 - The Stockbroker, His Customer, Her Sister, and The Change Of Address
October 7, 2013 - Stockbroker Clocked By Time And Price Orders
October 4, 2013 - Lightspeed Case Discovery Sucked Into Black Hole
October 3, 2013 - Burning Wedbush In CMO Employment Dispute
October 3, 2013 - Stifel Stiffed In Customer Dispute
October 2, 2013 - Two Large Customer Awards, Two Expungements, One Dismissal, And One Denial In BBVA Case
October 2, 2013 - Golf Fees Land Manager In FINRA Sand Trap
September 25, 2013 - Elderly Brokerage Clients Victimized In Changed Address Scam
September 23, 2013 - Stockbroker's Refi Strategy Dis-ARMs Elderly Clients
September 20, 2013 - Stamp Act Licks Wall Street Broker
September 20, 2013 - Feds Get Plea From Wells Fargo Con Artist In Elder Fraud Case
September 19, 2013 - $13 Million Citigroup Real Estate Development Fiasco
September 19, 2013 - Broker's Online ARNA Comment Via Facebook Flags FINRA
September 18, 2013 - Elderly Client Gives Broker $189,000 In Money Orders
September 16, 2013 - Broker Rips Off Elderly Client and Church
September 13, 2013 - Frivolous Customer Claims Fall To Eligibility Rule
September 11, 2013 - GunnAllen Zombie Files $36 Million Lawsuit
September 6, 2013 - Broker Acting As Trustee Lands Firm In Hot Water
September 5, 2013 - Time Barred Employee Claims Win In Odd Arbitration
September 4, 2013 - Arbitrator Angered By Childish, Repetitive,Whining, Contemptible, Scurrilous Conduct
August 30, 2013 - High Wire Act Fails Citigroup Broker
August 29, 2013 - Family Forger Flim Flams IRA and Savings Bonds
August 28, 2013 - Broker Fined And Suspended For Signing For Customer
August 23, 2013 - $49 Brokerage Handling Fee Deemed Undisclosed Commission
August 22, 2013 - Imposter Sends Email Wire Transfer Requests
August 19, 2013 - Parked Registrations And Lack Of Supervision Derail Firm And President
August 16, 2013 - Radio Show Guest Hit Sour Notes On Annuities
August 15, 2013 - Wells Fargo Hit With $1.8 Million Arbitration Award
August 14, 2013 - Merrill Loses Promissory Note Case And Broker Gets Expungement
August 9, 2013 - Federal Court Slams FINRA For Unqualified Lawyer Arbitrator
August 7, 2013 - Undisclosed Banrkruptcy Petition Strains FINRA's Mercy
August 5, 2013 - EIA Sales Caused Outside Business Activity Violation
August 2, 2013 - Edward Jones Unfair Competition Case Goes Down In Flames
August 2, 2013 - Pssst . . . Wanna Buy Some Badassdom Investment Units?
July 31, 2013 - Private Placement Supervision Sanctioned By FINRA
July 24, 2013 - David Sobel Talks FINRA Small Firm Issues With Bill Singer
July 17, 2013 - Massaging The Facts Of A FINRA Outside Business Activity Case
July 15, 2013 - FINRA Arbitrators Dismiss Customer Claim Before Hearing For Discovery Abuse
July 12, 2013 - Food Stamp And Child Care Fraud On Wall Street
July 11, 2013 - 419 Retirement Plan Taxes Claimants in Wells Fargo Arbitration
July 3, 2013 - Veteran Wall Street Lawyer Bill Singer Dissects The FINRA AWC
June 28, 2013 - Advisor Borrows From Customers To Acquire Practices
June 24, 2013 - Merrill Lynch Liable In Facebook Execution Snafu
June 21, 2013 - Former NFL Star Haynesworth In $30 Million Arbitration Against Citigroup And Morgan Stanley
June 20, 2013 - Wells Fargo Hit By Email Hacker LOAs
June 19, 2013 - Real Estate Short Sale Short Circuits Stockbroker
June 19, 2013 - Wells Fargo Broker Took Regulatory Bank Shots
June 18, 2013 - Time For FINRA To Get Its Own House In Order
June 16, 2013 - Stockbroker Loses City Council Race And Defrauds Elderly Contributor
June 14, 2013 - Stockbroker Forges Coworker Signature On Two Payroll Checks
June 14, 2013 - $225,000 Conversion Involving Elderly Clients Gets Broker Barred
June 13, 2013 - Broker Removed As Executor By Customer
June 13, 2013 - SEC Reversed On Imposition of Bar
June 12, 2013 - Lehman Brothers Suffers Stunning Promissory Note Defeat
June 11, 2013 - Former Merrill Lynch Employee Files $3.8 Million Wrongful Termination Case
June 6, 2013 - Broker Pocketed Customer Investments For Four Years
June 5, 2013 - Stockbroker Fined And Suspended For Helping Senior Citizen
June 3, 2013 - Penny Stock Sales Mismarked As Unsolicited
May 31, 2013 - Untimely Disclosures Of Tax Liens And Bankruptcies
May 31, 2013 - Wedbush In Battle Royal With Former Employee
May 30, 2013 - Customers Complain That Edward Jones Did Not Stop In The Name Of Love
May 24, 2013 - Chief Compliance Officer Cited For Deficient Private Placement Practices
May 23, 2013 - A Family Affair In FINRA Discretion Settlement
May 22, 2013 - FINRA Hits Merrill Lynch With Historic $1 Million Fine For Circumventing Mandatory Arbitration During Collection of Employee Promissory Notes
January 26, 2012 - ProEquties Tagged in TIC Arbitration
May 17, 2013 - The $2.6 Million Question In Goldman Sachs Suitability Arbitration
May 16, 2013 - Public Customer Wins Messy Private Placement Arbitration
May 16, 2013 - Blank Forms Jam Up Broker In Annuity Sales
May 16, 2013 - Former Merrill Lynch Broker Plagiarizes Research Reports
May 14, 2013 - Cantor Fitzgerald Defends $13 Million Wrongful Termination Suit
May 13, 2013 - Broker Hits Trifecta With Conversion, Borrowing, and Undisclosed Settlement
May 13, 2013 - Chase Customers Targeted In Signature Card Scheme
May 13, 2013 - Suitability Arbitration Raises Questions About FINRA AWC
May 13, 2013 - NEXT Smelled Email Smoke But Didn't Pull Compliance Alarm
May 7, 2013 - Stockbroker's Real Estate Sale Runs Afoul Of Borrowing Rule
May 7, 2013 - Stockbroker Wins Expungement Of Suitability Complaints
May 7, 2013 - FINRA Arbitrators Enjoin Stockbroker In Employment Dispute With U.S. Bancorp
May 6, 2013 - BBVA Sanctioned For Discovery Abuse In FINRA Arbitration
May 2, 2013 - Raymond James Indemnification Dispute With Former Broker
April 30, 2013 - Lehman Brothers In Bizarre FINRA Promissory Note Cases
April 30, 2013 - NSF Checks Short Change Analyst's Career
April 29, 2013 - Wells Fargo Wins FINRA Hostile Work Environment Promissory Note Arbitration
April 29, 2013 - A UBS Promissory Note Arbitration Discloses The Hidden Costs Of Litigation
April 29, 2013 - Blank Customer Forms Can Blank Your Wall Street Career
April 25, 2013 - Elderly Customer's Signature Submitted Three Days After His Death
April 25, 2013 - Former Raymond James Broker Stumbles With Discretionary Sales
April 23, 2013 - Pruco Broker Impersonates 9 Customers In Phone Calls
April 22, 2013 - Negligence Prompted Good Faith Alteration Of UBS Customer Phone Records
April 19, 2013 - Former ING Broker Runs Afoul of Beneficiary, Borrowing, And Away Account Rules
April 19, 2013 - Chase Employee Took Cash From Customer's Lost Wallet
April 18, 2013 - Not About Trust As A Trustee For Former Wells Fargo Advisor
April 18, 2013 - Ameriprise Broker Exonerated In Great Recession Customer Case
April 16, 2013 - Small Fish Fry On Wall Street
April 12, 2013 - UBS Loses Lawsuit After Former Employee Calls Firm Immoral and Unethical
April 10, 2013 - Former Wells Fargo Broker Swallows Bitter Pill After Pharma Sales
April 9, 2013 - FINRA Panel Splits On Award In Overtime Pay And Harassment Case
April 5, 2013 - Former Chase Broker Initials And Signs His Way Out Of A Job
April 4, 2013 - YouTube Annuities Videos Lead To Fine And Suspension
April 3, 2013 - Chase Banker And Broker Uses Unauthorized Customer Credit Cards
April 2, 2013 - Barclays Wins Bonus And Severance Dispute In Split Decision
April 1, 2013 - Stockbroker Makes Bad Impression Impersonating Customer's Husband
March 28, 2013 - Merrill Lynch Selling Away Case Goes Back To The Future
March 27, 2013 - Broker Suspended For Downloading Customer Files On Flash Drive And Laptop
March 26, 2013 - Schwab Wins Unfair Competition Damages
March 25, 2013 - FBR Capital Markets Loses Commission Dispute
March 22, 2013 - MetLife Broker Barred After Repaying Customer In Full With Interest
March 21, 2013 - Stockbroker's Sitting In On Investment Discussion Becomes Private Securities Violation
March 19, 2013 - Morgan Stanley Broker Cited For Discretion And Unsolicited Trades
March 19, 2013 - Commodities Biz Turns Into Outside Business Nightmare For FINRA Broker
March 19, 2013 - Merrill Lynch Avoids Cyprus Bank Wire Disaster
March 19, 2013 - Filling In The Blanks Gets Chase Stockbroker Fined and Suspended
March 18, 2013 - FINRA CEO Ketchum's Speech And The Shortcomings Of Self Regulation
March 15, 2013 - Wells Fargo And E*Trade Battle Over Ex-Husband's Withdrawals
March 15, 2013 - Former Chase Investment Rep And Banker Pleads To Grand Larceny And Identity Theft
March 14, 2013 - Wall Street's Self Regulator Prohibits Guarantees Against Customer Loss
March 13, 2013 - Webinar And PowerPoint Presentation Cited As Improper Reg D Public Solicitation
March 12, 2013 - Sabotaging 401ks. Oral Complaint Gets Expunged. Lehman EFL Loss. And more!!!
March 8, 2013 - Oral Customer Complaint Expunged From Broker's Record
March 8, 2013 - Lehman Brothers Loses Promissory Note Collection Case
March 8, 2013 - After Borrowing From Customer, Stockbroker Ordered To Pay Restitution
March 7, 2013 - Something Up Continuing Ed Sleeve Leads To FINRA Bar
March 7, 2013 - Oral Notice Of Outside Accounts Still Earns FINRA Fine
March 6, 2013 - Morgan Stanley Exam Taker Barred For Fudging Score To Keep Job
March 5, 2013 - Merrill Lynch Hit With $8.5 Million Wrongful Termination Case
March 1, 2013 - Stockbroker Fined And Suspended For Sending Business Emails From Personal Account
March 1, 2013 - Broker Dealer President And Chief Compliance Officer Sued By Firm
February 26, 2013 - FINRA v. Schwab. Madoff Victims In Court Setback. Missing Wallet At Chase Bank.
February 25, 2013 - Fantabulous Tale Of Chase Bank Customer's Missing Wallet
February 23, 2013 - FULL TEXT FINRA Decision On Charles Schwab Arbitration Agreement
February 21, 2013 - Customer Paid Interest From Nonexistent IRA
February 20, 2013 - Email Snafu Costs ING Subsidiaries $1.2 Million Fine
February 19, 2013 - FINRA IRAte About Cut And Pasted Customer Signatures
February 15, 2013 - UBS Wins Promissory Note Case
February 14, 2013 - SEC Sustains FINRA 8210 Document Demand For Third Party Records
February 14, 2013 - Avocado Consulting Makes Guacamole Out Of Stockbroker's Career
February 13, 2013 - Tax Liens And Judgments Snare Stockbroker
February 12, 2013 - UBS And Merrill Lynch Win $2.5 Million DotCom Customer Case
February 11, 2013 - Stockbroker Exonerated For Following Broken FNMA Compass
February 9, 2013 - MetLife Securities Unsettling Customer Settlements
February 8, 2013 - Broker Charged With The Old Cut And Paste Signature Shortcut
February 7, 2013 - Ameriprise Sort Of Wins FINRA Promissory Note Arbitration
February 5, 2013 - Public Customer As Bad Guy In Morgan Stanley Case
February 5, 2013 - US Airways Wins Massive Auction Rate Securities Award. Morgan Stanley Wins Promissory Note Case
February 2, 2013 - US Airways Wins $30 Million ARS Award Against Oppenheimer
February 1, 2013 - Stockbroker Barred For Living Trust Trustee Conduct
January 30, 2013 - Stockbroker Charged With Outside Business Activity For 401k Consulting
January 30, 2013 - UPDATE: Broker Wins Expungement Of Sleeping Dog Customer Complaint
January 29, 2013 - Did You Hear The One About The Stockbroker And His Mother In Law?
January 29, 2013 - FINRA Wrongful Termination Case Fizzles
January 28, 2013 - Compliance Officer Gets Too Creative With Customer Complaint File
January 25, 2013 - Credit Card Charges Cancel Career On Wall Street
January 25, 2013 - Ameriprise Wins Employee Promissory Note Case
January 24, 2013 - Bill Singer's Provocative FINRA Case Analysis
January 17, 2013 - Customers Sue Wells Fargo Over Leveraged ETF Trades
January 16, 2013 - Barred Stockbroker Barred Again For Wire Transfers From Elderly Client
January 15, 2013 - Citigroup Broker Exonerated In $2.5 Million Great Recession Case
January 15, 2013 - Wells Fargo Branch Manager Barred Over iPod Purchases
January 15, 2013 - Tullet Prebon's $16 Million Raiding Case Broadside Against BGC Financial Fizzles
January 14, 2013 - Lovebird Stockbroker Absconds With Girlfriend Customer's Investment
January 11, 2013 - Till Death Do Us Part Stumps Stockbroker
January 11, 2013 - Not Borrowing Money From Customers Got Stockbroker Suspended
January 10, 2013 - Raymond James Wrongful Discharge Case Is A Minefield For Stockbroker
January 10, 2013 - Former Morgan Stanley Branch Manager Litigates Hobson's Choice
January 9, 2013 - Veteran Stockbroker Fined And Suspended For Personal Checkbook Miscues
January 8, 2013 - Morgan Stanley Broker Fined And Suspended For Taking Fidelity Customer Data
January 7, 2013 - Stockbroker Fined And Suspended For Using Microsoft Excel Spreadsheet
January 5, 2013 - FINRA Taping Rule Punted By Federal Courts
January 4, 2013 - LPL Broker Tripped Up By Undisclosed IRS Tax Lien
January 3, 2013 - Merrill Lynch Collateral Damage in Goldman Sachs Floating Rate Trust Case
January 2, 2013 - A Stockbroker Uses Personal Emails And Unparalleled Yardstick
December 19, 2012 - Stockbroker Wins Arbitration For Owed Commissions And Expenses
December 14, 2012 - Merrill Lynch Settles Customer Suitability Case Despite Apparent Profitability
December 14, 2012 - Kink In Merrill Lynch ARMOR Loses $Million Customer Arbitration
December 13, 2012 - NASDAQ QQQ Stop Loss Strategy Earns Stockbroker Fine And Suspension
December 12, 2012 - Hartford Life Wholesaler Fabricated Embassy Suite Bill For School Donation
December 11, 2012 - State Farm Stockbroker Impersonates Uncle Seeking Life Insurance
December 10, 2012 - FINRA's $25,000 Antiviral Guessing Game
December 10, 2012 - Re-Sales Of Wells Fargo Ink Cartridges Jams Up Manager's Career
December 4, 2012 - Trading For The Dead Posed Grave Problem For Stockbroker
December 3, 2012 - World Series Tickets Undo Wall Street FINOP And CFO
November 28, 2012 - Stockbroker's Borrowing From Elderly Client Gets Him Barred
November 28, 2012 - Morgan Stanley Wins Unfair Competition And Raiding Case Against Robert W. Baird
November 27, 2012 - SEC Approves Return To Wall Street Of Statutorily Disqualified Broker
November 26, 2012 - Janney Montgomery Scott Wins $2.4 Million Raiding Case
November 21, 2012 - Customer's Oddball ETF UIT Guarantee Allegation Proves A Winner
November 20, 2012 - Undisclosed Tax Liens And State Regulatory Action Trip Up Stockbroker
November 15, 2012 - Stockbroker Disqualified Amid Borrowing, Liens And Judgments
November 14, 2012 - Undisclosed Bankruptcies,Tax Liens and Judgments Derail Stockbroker
November 13, 2012 - Wells Fargo Embroiled In Another Trainee Fee Dispute
November 12, 2012 - Sharing Commissions Gets Stockbroker Tossed From Industry
November 8, 2012 - FINRA Bars Exam Taker For Cheating
November 8, 2012 - Wells Fargo Broker Fined And Suspended For REIT Customer Referral
November 7, 2012 - Settled Stop Loss Order Is Loss For Stockbroker
November 6, 2012 - A Wife's And A Customer's Outside Accounts Land Stockbroker In FINRA Detention
October 29, 2012 - Sexist Double Standard? Female Sales Assistant Sanctioned By FINRA
October 26, 2012 - Wells Fargo In Groundhog Day Deja Vu Training Fee Disputes
October 25, 2012 - Taped Phone Conversations Discredit Customer And Exonerate Stockbroker
October 25, 2012 - Thundering Silence From Customer Trumpets Wells Fargo Arbitration Victory
October 25, 2012 - Lehman Brothers Loses Nearly $500,000 Collection Case Against Former Employee
October 24, 2012 - Stockbroker Borrows From 90 Year Old Customer
October 22, 2012 - E*Trade Customer Seeks Damages for Failed Phone Transaction
October 22, 2012 - Felony Strangulation Charge Gets Stockbroker Fined And Suspended
October 19, 2012 - Wells Fargo Blindsided In Trainee Fee Loss
October 18, 2012 - Wall Street's High Standards And Honor Demolish Lowly Female Sales Assistant
October 17, 2012 - Stockbroker Preserves Reputation With Voluntary Termination
October 12, 2012 - Husband's Unauthorized Withdrawals Land Stockbroker In Hot Water
October 12, 2012 - Former Employee Wins Wrongful Termination FINRA Expungement Case
October 11, 2012 - A Stockbroker's Indiscretion Of Discretion
October 10, 2012 - Research Reports Unravel Into Stockbroker's Outside Business Activity
October 10, 2012 - Barred Wall Streeter Returns As Public Customer And Jams Up Compliance Officer
October 9, 2012 - Stockbroker Sidesteps Felony But Trips Over Misdemeanor
October 9, 2012 - Exonerated Stockbroker Remains Victimized In Public Customer Arbitration
October 8, 2012 - Stockbroker Sanctioned For Nondisclosure Of Expunged Criminal Charges
October 1, 2012 - PhD Stockbroker Fined And Suspended For Dubious Degree
September 28, 2012 - FINRA Says Stockbroker Was His Brother's Keeper In Trust Conversion
September 26, 2012 - Morgan Stanley Smith Barney Eviscerated In Fidelity Unfair Competition Case
September 25, 2012 - Wells Fargo Trainee Fee Arbitration Comes Up Short
September 25, 2012 - Merrill Lynch Failed To Provide Conducive Workplace For Employee
September 24, 2012 - Wall Street Wrongful Termination Dispute Ends With A Whimper
September 20, 2012 - Stockbroker Undone By Email Trail Of Undisclosed Customer Settlement
September 18, 2012 - Stockbroker Fined And Suspended For Service As Executor And Having Outside Accounts
September 17, 2012 - Lehman Brothers Sought $159,000 Repayment Of Promissory Note From Former Broker But Gets Zippo
September 13, 2012 - Unpaid Credit Card Bills Result In Stockbroker's Disqualification
September 13, 2012 - Shoplifting $40 From Macy's Pinches Stockbroker's Career
September 13, 2012 - ING And Wells Fargo Catch Broker Ripping Off Elderly Client
September 12, 2012 - Customer Settled Suitability and Churning Case But Stockbroker Wins Expungement
September 11, 2012 - Equity Indexed Annuities Sales Set Up FINRA Outside Business Activity Case
September 10, 2012 - FINRA Bars Broker For Loans From Elderly Widows And Family
September 6, 2012 - Former Santander Female Employee Filed $Multi-Million Sexual Harassment Wrongful Termination Case
September 5, 2012 - Suitability Paperwork Undoes Westrock Branch Manager
September 5, 2012 - FINRA Enforcement Loses Dramatic ARS Case
September 4, 2012 - Out Of State Annuity Signature Gets Former Merrill Lynch Stockbroker Fined And Suspended
August 31, 2012 - Wells Fargo Advisors Comes Up Short in Retention Bonus Case
August 29, 2012 - Former Chase Investment Employee Wins Happy Birthday Wrongful Termination Expungement
August 28, 2012 - FINRA Hits Stockbroker For Mortgage Refinance Proceeds Used To Purchase Variable Universal Life Policy
August 27, 2012 - Husband Sues Advest, Credit Suisse, And Two Stockbrokers Over Wife's Unauthorized Withdrawals
August 23, 2012 - One Errant E-Mail Gets Stockbroker Fined And Suspended
August 22, 2012 - Former Morgan Stanley Smith Barney Employee Wins Promissory Note Arbitration
August 21, 2012 - Stockbroker Fined And Suspended For Equity Indexed Annuities Sales
August 17, 2012 - Bankrupt Stockbroker Fined And Suspended By FINRA
August 15, 2012 - Securities And Exchange Commission Video Walks Informants Through Whistleblower Process
August 13, 2012 - Deleted AOL Mail Lands Stockbroker In FINRA Trash Folder
August 10, 2012 - Ameriprise Gets Nasty Surprise Over Sale Of Financial Planning Practice
August 9, 2012 - FINRA Charges That Real Estate Loan Was Improper Borrowing By Stockbroker
August 8, 2012 - Joint Venture Collapses Into FINRA Arbitration Slugfest Over Fee Division
August 8, 2012 - FINRA Says Test Taker Lacked Potty Training
August 7, 2012 - Canaccord Broker Barred For Bogus Commissions
August 3, 2012 - FINRA Punishes Customer Loss Reimbursement By Stockbroker
August 2, 2012 - FINRA Fines And Suspends Broker For Improper Customer Loans
August 1, 2012 - Pinnacles's $1 Million Arbitration Not Credible, Probative, Substantive, Or Meritorious
July 31, 2012 - Fired Chase Employee Counter-Punches To FINRA Expungement Victory
July 30, 2012 - $5 Million Customer Case Fizzles Against Janney Montgomery Scott, Jesup & Lamont, And Wachovia
July 30, 2012 - FINRA Trifecta Earns Stockbroker Fine And Suspension For Borrowing, U4, Private Securities Transactions
July 27, 2012 - Wall Street's Women Set Up For Regulatory Failure
July 25, 2012 - A Stockbroker's Survival Guide: Felonies And Misdemeanors -- what to do
July 24, 2012 - Former Citi Stockbroker Fined And Suspended In Form U4 Felony Disclosure Case
July 24, 2012 - Sleeping Dog Bites Former Raymond James Employee After Form U5 Expungement
July 23, 2012 - Pain Pills Put Stockbroker In A World Of FINRA Hurt
July 19, 2012 - Stockbroker Victimized By Husband's Withdrawals From Wife's and Child's Accounts
July 19, 2012 - Classic FINRA Case Of A Stockbroker Borrowing From A Client
July 18, 2012 - Bankrupt Stockbroker Winds Up Statutorily Disqualified
July 18, 2012 - Stockbroker's DUI Puts Career In The FINRA Ditch
July 17, 2012 - FINRA Settlement Attacked By Barred Respondent As Misstating Facts
July 17, 2012 - Bogus Fire Insurance Policy Lands Stockbroker In FINRA Hell
July 13, 2012 - Morgan Stanley Broker Barred For Bogus Restaurant Expenses
July 13, 2012 - A FINRA Member Firm In Name Only But Not Even That
July 12, 2012 - Former Wedbush Rep Wins Incentive Compensation Case
July 12, 2012 - Madoff Feeder Fund Fairfield Sentry Dispute Among First Through FINRA Arbitration
July 10, 2012 - Citigroup Wins FINRA Arbitration And Expungement As Public Customer Pulls A No-Show
July 9, 2012 - MetLife Manager Fined And Suspended In FINRA Life Settlement Case
July 9, 2012 - Time And Price Discretion Earns Stockbroker Time Consuming Suspension and Pricey Fine
July 6, 2012 - PNC Broker Exonerated In FINRA Customer Dispute But Saddled With Expungement Ordeal
July 6, 2012 - Supervisor Fined And Suspended Over Two Busted Apple Trades From 2008
July 6, 2012 - Replacement Insurance Policy Referral Fees Cost Stockbroker An Outside Business Activity Fine And Suspension
July 2, 2012 - Broker Fined And Suspended For U4 Tax Lien, Credit, and License Disclosures
June 28, 2012 - FINRA Wields Broom Behind A JP Morgan Chase Circus Elephant Of Theft And Deception
June 27, 2012 - Lehman Largely Wins A Promissory Note Collection Case In FINRA Arbitration
June 25, 2012 - Wells Fargo Registered Persons Victimized By Abandoned Customer Arbitration And Expungement Process
June 21, 2012 - Former Morgan Stanley Smith Barney Brokers Win $5 Million Employment Dispute Arbitration Award
June 20, 2012 - Former LPL Broker Fined and Suspended For Widow's Variable Annuity and Mortgage Activities
June 20, 2012 - FOREX Private Securities Transactions Earn Stockbroker Fine And Suspension
June 19, 2012 - Outside Restaurant Business Cooks Broker's FINRA Case With A Side Order Of A Fine And Suspension
June 18, 2012 - Fidelity Relationship Managers Win One,Lose One In FINRA Expungement Hearing On Settled Customer Complaint
June 14, 2012 - Employee Loses But Sort Of Wins Twilight Zone Promissory Note Arbitration Against Citigroup And Morgan Stanley
June 13, 2012 - Arbitrators Slam SunTrust's Legal Tactics In Non-Solicitation Case Against Former Employee
June 12, 2012 - Lehman Loses Another Promissory Note Collection Case
June 11, 2012 - Shocking Verdict In Morgan Keegan Arbitration Against Broker Who Exercised Discretion (Or Not)
June 11, 2012 - Fuggedabout Facebook Or MF Global, Get The Stockbroker With The Bouncing Checks
June 8, 2012 - A Double-Dip Costs Citigroup Customers Commissions And Fees
June 7, 2012 - Stockbroker's Friend, Cousin, And Ex-Wife Collide Into One Regulatory Mess
June 6, 2012 - FINRA Sanctions MetLife Manager In Elderly Client's Account Opening
June 6, 2012 - Commonwealth Stockbroker's Private Securities Transaction and Customer Loan Prove Boiling Frog Story
June 5, 2012 - Crumbling Marriage Collapses On Citigroup In Dispute Over Wife's Withdrawals
June 5, 2012 - Former LPL Broker Fined And Suspended For Outside Brokerage Accounts
June 4, 2012 - Crony Politics Of Congress Wants Crony Regulation Of Investment Advisers
June 4, 2012 - Notary Duped Into Signing Off On Insurance Loans Fined And Suspended By FINRA
June 1, 2012 - Congress Prepares To Sandbag Investors And Their Financial Advisers With More Wall Street Self Regulation
May 31, 2012 - FINRA Sanctions Broker For Marking Solicited Trades As Unsolicited
May 29, 2012 - FYI, FINRA Cites Small Firm For Alphabet Soup of AML,OBA,PST,and WSP
May 25, 2012 - Back To The Future For Barred Stockbroker In Federal Expungement Case
May 24, 2012 - NSF Checks Checkmate Stockbroker's Career
May 24, 2012 - Brokerage Firm Goes All In But Loses High Stakes Employment Arbitration Poker Game
May 23, 2012 - Former Merrill Lynch Colleagues Sue Each Other In FINRA Arbitration
May 22, 2012 - Wall Street Regulator FINRA Sings Kumbayah In Regulatory Fight Against Conflicts And Unsuitability
May 22, 2012 - Hubby Dips Into Wife's Retirement Account And She Successfully Sues Brokerage Firm
May 21, 2012 - FINRA Cites KeyBanc For Employees' Outside Brokerage Accounts
May 21, 2012 - Relationship Manager Barred Over Allegations Of Stealing Bank Customer's Funds
May 17, 2012 - E*Trade Settles Auction Rate Securities Case But The Product Keeps On Giving Grief
May 16, 2012 - E&O Fraud At FINRA Member Firm Leaves Brokers E&Owing
May 15, 2012 - Feds Slam Deutsche Bank But Next Day FINRA Nominates Executive To Its Board
May 15, 2012 - Arbitrators Award $150,000 Punitive Damages In Variable Annuities Case
May 10, 2012 - UBS Exposes Its Frivolous Briefs In $21 Million FINRA Customer Arbitration
May 10, 2012 - Undisclosed Customer Settlement Checks Move Broker Into Regulatory Checkmate
May 10, 2012 - FINRA Says It Looked And Quacked Like A Felony And Must Be Disclosed
May 9, 2012 - FINRA Rejects A New York State Of Mind When It Comes To New Jersey Annuity Signatures
May 9, 2012 - Lehman Brothers Loses Another FINRA Promissory Note Collection Case
May 7, 2012 - Brokerage Firm and Its President Get Parking Ticket From FINRA
May 5, 2012 - Borrowing From Customer Costs Stockbroker His Career
May 3, 2012 - FINRA Fines And Suspends Lawyer For Practicing Law
May 2, 2012 - Morgan Stanley To Pay Nearly $2.4 Million ETF Fine and Restitution
May 2, 2012 - UBS To Pay Nearly Nearly $2 Million ETF Fine and Restitution
May 2, 2012 - Citigroup To Pay Over $2 Million ETF Fine and Restitution
May 2, 2012 - Wells Fargo To Pay Over $2.7 Million ETF Fine and Restitution
May 2, 2012 - Wells Fargo Settles With Customer But Broker Wins Expungement
May 1, 2012 - A Persistent DWI Offender's Brokerage Career Is On The Skids
April 27, 2012 - Wells Fargo KO'd In Trainee Fee Case
April 27, 2012 - Ameriprise Employee Goes Down In Flames In Promissory Note Case
April 27, 2012 - Mickey Mouse, Springsteen, Hookers And Wall Street's Credit Cards
April 25, 2012 - FINRA Arbitrators Say Public Customer Claimant Grossly Misled Wachovia
April 25, 2012 - Former Employee Wages 4 Year Battle Over Form U5 Expungement
April 24, 2012 - Broker Impersonates Former 83 Year Old Client In Annuity Withdrawal Request
April 20, 2012 - Stockbroker Barred For Continuing Education Cheating
April 20, 2012 - Merrill Lynch Trainee Doctors Failed Scores And Tests FINRA's Patience
April 18, 2012 - FINRA Arbitrators Wrestle With Considerable Confusion In Wells Fargo Employment Case
April 17, 2012 - FINRA Arbitrator Finds Merrill Lynch Defamed Former Broker
April 17, 2012 - Broker Fined And Suspended For Equity Indexed Annuities and Whole Life Outside Business Activities
April 13, 2012 - For Some Reason, FINRA Arbitrators Award $2 Million To Broker For Something
April 12, 2012 - Four Warnings Brokers Miss When Settling With FINRA
April 12, 2012 - Allegations Of Intolerable Work Conditions Fail In Former Merrill Lynch Employee's Promissory Note Case
April 11, 2012 - Stockbroker Goes To Prison But Morgan Stanley Customers Snooze And Lose
April 10, 2012 - Wachovia Somewhat Stiffed by Stifel Nicholas In $7 Million Raiding Case
April 5, 2012 - Arbitrators Award Damages For Misleading and Incomprehensible Trade Confirmation
April 5, 2012 - Merrill Lynch Savaged By FINRA Arbitrators In Historic Employee Dispute
April 5, 2012 - Cambridge Legacy Securities Loses $1.5 Million FINRA Limited Partnership Arbitration
April 3, 2012 - Weed Whacker Krittibas Ray Strikes Again As Defunct Brokerage Firm Ordered to Arbitrate Customer Claims
April 3, 2012 - ICON Wins About $700,000 But Loses Injunction Against Former Employee In FINRA Arbitration
March 30, 2012 - Broker Fined and Suspended For Untimely Disclosure Of Felony For Unpaid Child Support
March 26, 2012 - Merrill Lynch Asks Court To Rule That Sleeping FINRA Arbitrator Engaged In Misconduct
March 23, 2012 - Eloquent Arbitration Decision Rules For Merrill Lynch In Pro Se Employee Promissory Note Case
March 23, 2012 - Broker Wins Expungement of Sleeping Dog Customer Complaint
March 20, 2012 - Judge Rakoff's Wall Street Zombies Arise In FINRA Citi Settlement
March 19, 2012 - Morgan Stanley Loses Rip Van Winkle Promissory Note Case Against Employee
March 16, 2012 - Three Lawyers Later, Claimant Loses Trust Case Against Morgan Stanley
March 16, 2012 - Edward Jones Sought Injunction and Damages from Former Employee Who Joined Morgan Stanley
March 15, 2012 - AXA Fined $100,000 For Not Axing Ponzi Broker Sooner
March 15, 2012 - Former Wachovia Employee Files $1.3 Million Forgivable Loan Arbitration Claim Against Firm
March 12, 2012 - Another Registered Person Loses FINRA Exam Waiver Battle
March 12, 2012 - Former Employer Seeks $12,000 in Damages against Employee Seeking $500,000
March 9, 2012 - Arbitrators Award Over $2 Million for Unsuitable Tenants In Common Real Estate Transactions
March 9, 2012 - Stanford Convicted But Plenty of Shame and Blame to Go Around
March 7, 2012 - The Old Client Phone Number and Email Address Switcheroo Backfires on UBS Broker
March 7, 2012 - Former Morgan Stanley Smith Barney Trader's $1 Billion Position Causes $15 Million Loss
March 6, 2012 - Wells Fargo and Former Employee Go Toe To Toe Over Promissory Note and Deferred Compensation
March 5, 2012 - Stockbroker Fined and Suspended for Failure To Disclose Bogus Auto Theft Report Misdemeanor
March 2, 2012 - TD Ameritrade Sued by Customer Over Failure To Exercise In-The-Money Options
March 1, 2012 - Raymond James Indie Office Managers Prevail Over Former Employee in FINRA Arbitration
February 29, 2012 - FINRA Arbitrators Grant Summary Judgment Against Claimant Employee in Citigroup Racial Discrimination Case
February 29, 2012 - Trading Away From His Brokerage Firm Gets Registered Person Fined and Suspended
February 28, 2012 - Wells Fargo Advisors Wins Trainee Fees Arbitration For $25,000
February 24, 2012 - Wachovia Gave Customer With GM Stock Problem The Old Shuffle
February 23, 2012 - Former Chase Investment Services Employee Wins Six-Figure Defamation Award
February 23, 2012 - FINRA Arbitrators Hit Kovack Securities With Punitive Damages for A Broker's Egregious Behavior
February 22, 2012 - Statutory Disqualification for Undisclosed Tax Liens Sustained by FINRA, SEC, and Federal Court
February 21, 2012 - Barred Stockbroker Seeks Approval As a Mortgage Loan Originator
February 16, 2012 - Arbitration Claimant Wins Case But Damages Smorgasbord May Have Hurt
February 15, 2012 - LPL Sued for $8 Million In Real Estate Investment Dispute
February 15, 2012 - Broker Suspended and Fined for Misrepresenting Variable Annuity Guaranteed Rate of Return
February 15, 2012 - FINRA Warns Stockbrokers To Kick The Tires On Private Placements Deals
February 10, 2012 - UBS Loses Million Dollar Promissory Note Arbitration Against Former Employee
February 8, 2012 - FINRA Fines and Suspends Client Associate For Altering IPO Forms
February 8, 2012 - E*Trade Loses Inverness Medical Options Arbitration But Gains Offset
February 7, 2012 - FINRA Finds A Lot Of Bull In A China Shop
February 6, 2012 - Wall Street Compliance Practices Come Under Scrutiny by FINRA and the SEC
February 2, 2012 - FINRA Sanctions Brokerage CEO For Delegating To Part Time Compliance Officer and FINOP
January 31, 2012 - RRBDlaw.com : Closing the calendar on FINRA's 2011 Cases of Note
January 29, 2012 - Branch Manager Suspended and Fined For Leaving Office Keys with Landlord
January 23, 2012 - Former Questar Employee Wins Over $3 Million in FINRA Defamation Arbitration
January 19, 2012 - FINRA Arbitrators Enjoin Brokerage Raid And Enforce Non-Compete
January 18, 2012 - Merrill Lynch Wins FINRA Mutual Funds Arbitration Involving Margin
January 18, 2012 - Banc of America Broker Caught Downloading and Emailing Client Info
January 10, 2012 - The Desperate Stockbroker and Her Father's Korean War Medals
January 10, 2012 - 11th Circuit Raises FINRA Due Process Dilemma in Busacca Appeal
January 6, 2012 - Discharged Wachovia Employee Wins Form U5 Expungement
January 4, 2012 - Arbitrators Say Deutsche Bank Securities Managing Director's Conduct Was Reprehensible
December 30, 2011 - Customer Settles Annuity Claim But Stockbroker Wins Expungement
December 29, 2011 - Former UBS Employee Sues Over U5 Failure to Disclose 2003 Termination
December 28, 2011 - Carl Kipper's Exoneration In The Springfield, Merrill Lynch, $14 Million CDO Mess
December 27, 2011 - In Citigroup Arbitration, A Falling Tide Stranded All Boats And Investments
December 27, 2011 - Merrill Lynch Wins Solicitation Injunction Against Former Employee
December 21, 2011 - Offsetting Fouls In Customer Renege Arbitration About September 2008 Market Crash
December 20, 2011 - Stockbroker's Better Buy At Best Buy Leads to Industry Bar And Disqualification
December 16, 2011 - Wells Fargo Hit With Punitive Damages in FINRA U5 Defamation Case
December 15, 2011 - Mother And Daughter's Convenient Joint Account Leads to Odd Arbitration Win Against Wells Fargo
December 9, 2011 - A Lot of Greif Between Investment Bank Employer And Former Employees
December 7, 2011 - Former Bank of America Broker Suspended and Fined For NSF Checks and ATM Withdrawals
December 6, 2011 - Habla Espanol and No Finding of Misconduct in Chase / LPL Arbitration
December 2, 2011 - FINRA Arbitration Expungement for Wells Fargo Broker
December 2, 2011 - Lack of Communication About A Conservative Portfolio Ended In A FINRA Arbitration
December 1, 2011 - Former UBS Broker Sues Firm For $3.8 Million in Deferred Comp and Unused Vacation Time
November 29, 2011 - UBS Goes After Former Broker for Three Promissory Notes
November 29, 2011 - FINRA CEO Ketchum's Dear Jon (Corzine) Moment
November 24, 2011 - FINRA Arbitration Claimant's "Short" Dog Won't Hunt
November 24, 2011 - Pelican Holdings, Fleming Endowment and Morgan Keegan: A Blow By Blow FINRA Arbitration
November 22, 2011 - Merrill Lynch Wins Five-Year FINRA IRA Arbitration Saga
November 21, 2011 - FINRA Arbitrators Award Over $5 Million To Former RBC Employee
November 18, 2011 - Former Schwab Employee Lost Defamation Arbitration But Employer Gets Slammed By Panel
November 17, 2011 - End the Politics of Wall Street Regulation: Decentralize FINRA and the SEC
November 16, 2011 - Raymond James Wins Attorneys' Fees In Florida FINRA Arbitration To Recover On Employee Promissory Notes
November 11, 2011 - Citigroup Stockbroker Wins Expungement Even Though Customer Was Paid a Settlement
November 9, 2011 - The Ghost of Bear Stearns Raised in $59 Million FINRA ARS Arbitration Against JP Morgan
November 8, 2011 - Did Someone At FINRA Do Corzine A Favor And Waive His Registration Requirements?
November 4, 2011 - Vote for David Sobel for FINRA's National Adjudicatory Council
November 3, 2011 - Unpaid $10,000 Casino Marker Leads to Stockbroker's Suspension and Disqualification
November 3, 2011 - The Wife Dies of Cancer, The Husband Has Alzheimer's - And Their Stockbroker Is Barred
November 2, 2011 - Bill Singer Breaks FINRA Story -- SEC Takes Self Regulatory Organization To Woodshed
October 27, 2011 - Vivus Lost Wages : BioPharma Company's FDA Denial Slammed Investor With Margin Call
October 26, 2011 - Citi Smith Barney Customer Sues Over 2008 Failure to Sell Lehman Shares
October 19, 2011 - Cancelled FAZ Purchase Leads to MSSB Arbitration and Expungement
October 17, 2011 - UBS Broker Wrongly Named In Customer Arbitration Forced Into Expungement Nightmare
October 14, 2011 - JonesTrading Seeks $12.4 Million Damages Against Nomura Securities
October 14, 2011 - Arbitrator Awards About One-Fifth of Training Fee Damages to Wells Fargo
October 13, 2011 - Forbes' Matt Schifrin Launches Online Dialog About FINRA And The Future of Wall Street Regulation
October 12, 2011 - Stockbroker Wins Defamation Arbitration Against Former Employer
October 12, 2011 - Lehman Suffers First Loss in FINRA Arbitration Collection of Promissory Notes
October 12, 2011 - A DWI Nearly Ends Stockbroker's Career
October 10, 2011 - Stockbrokers Sue To Recover Unpaid Commissions
October 7, 2011 - FINRA Loses Landmark Federal Appeals Case on Collection of Fines
October 7, 2011 - TIC-ed Off Customers Sue Over Tenants In Common Investment
October 6, 2011 - BREAKING NEWS: FINRA Loses Historic Appeal. Right to Collect Fines Curtailed
October 5, 2011 - Wells Fargo Broker Barred After $8.9 Million in FNMA and Freddie Mac Customer Settlements
October 4, 2011 - Stockbroker Barred For Submitting Fraudulent Hotel Conference Room Invoices
September 27, 2011 - Zombie Client Signed Annuity Document 20 Days After His Death
September 23, 2011 - Morgan Stanley Smith Barney Female Employee Suspended and Fined for Unauthorized Signatures
September 23, 2011 - A.G. Edwards Loses Training Fee Case to Pro Se Stockbroker
September 22, 2011 - Scottrade Exonerated For Inability to Deliver Suspended BCIT Shares
September 22, 2011 - Excessive Trading and Unauthorized Discretion In Elderly Clients' Accounts
September 22, 2011 - Misuse of Customer Data on Flash Drive Crashes Stockbroker's Career
September 22, 2011 - RRBDlaw updates now online. New FINRA monthly disciplinary cases analyzed by Bill Singer
September 21, 2011 - Fabricated Customer Statements Result in Felony Plea and Bar for Stockbroker
September 20, 2011 - Goldman Sachs Employee Fired, Fined, and Suspended for Personal Credit Card Expenses
September 20, 2011 - Public Customer Gets Legg Mason Fund Settlement From Ameriprise But Broker-Of-The-Day Exonerated
September 19, 2011 - Using Promissory Note Proceeds For Weed Whacker Doesn't Cut It With FINRA
September 16, 2011 - FINRA Bars Morgan Stanley Smith Barney Broker for Fabricating Emails
September 15, 2011 - Two Grave FINRA Arbitrations Involving Deceased Customers of Edward Jones and MSSB
September 14, 2011 - FINRA Fines and Suspends Broker For Role as Exhibitor at Dental Convention
September 9, 2011 - No Show Employee Arbitration Claimant Sanctioned in Raymond James Case
September 9, 2011 - FINRA's Un-explained Arbitration Decision Awards Nearly $1 Million to Former TD Ameritrade Employee
September 8, 2011 - Lien on Me. FINRA Cites Two Brokers For Untimely Lien Disclosures on U4
September 8, 2011 - Padded Expenses Gets Hartford Broker Barred -- But is it a double-standard?
September 7, 2011 - Fired RBC Customer Files Angry FINRA Arbitration
September 6, 2011 - Amending Form U4 for Felony Charges and Convictions: One Broker's Tortured Path to FINRA Disciplinary Action
September 5, 2011 - FINRA Arbitrators Award Millions Awarded in Elder Abuse Case
September 1, 2011 - Oppenheimer Hit With $1 Million Damages in FINRA Arbitration
August 31, 2011 - FINRA Arbitrators Sanction Citigroup for Delayed Currency Conversion of Loonie to US Dollar
August 30, 2011 - Neither a Borrower Nor A Forger Be, FINRA Tells Barred Broker
August 24, 2011 - ETRADE Broker Wins FINRA Flash Crash Exxon Arbitration -- Maybe, Sort Of?
August 23, 2011 - U5 Says "Discharged" But FINRA Arbitrators Say "Voluntarily Resigned"
August 23, 2011 - Farsi, Spanish, and English Cause Problems for Brokerage Firms
August 19, 2011 - August FINRA Disciplinary Case Update by Bill Singer
August 18, 2011 - Employee Wins U5 Wrongful Termination / Defamation FINRA Arbitration
August 16, 2011 - Wells Fargo / Wachovia Loses Slam Dunk FINRA EFL / Promissory Note Arbitration
August 15, 2011 - Fudging a Failing Exam Grade Earns FINRA Fine and Suspension
August 12, 2011 - Penson and Merrill Lynch Suffer Setbacks With Attorneys' Fees in FINRA Arbitrations
August 11, 2011 - Citigroup Global Markets Hit With $500,000 Fine in FINRA Failure to Supervise Case
August 10, 2011 - Due Diligence and Private Placements: FINRA's On a Rampage
August 9, 2011 - Bill Singer Supports the National Adjudicatory Committee Candidacy of David M. Sobel
August 5, 2011 - UBS Admonished for Unilateral Decision to Close Kalamazoo Office in FINRA Promissory Note Arbitration
August 4, 2011 - Employee Forgivable Loans (EFL) and Wall Street Promissory Notes (PN) Round-up
August 4, 2011 - Taking the Fifth At FINRA -- Not What You Might Think
August 2, 2011 - In a Consolidated FINRA Intra-Industry Employment Case, Arbitrators Blast Both Parties
August 2, 2011 - Away Accounts : Outside Brokerage Accounts Catching FINRA's Attention
August 1, 2011 - FINRA Slams Ops Mgr For Misuse of Credit Cards and Checks
July 26, 2011 - UBS Broker Wins FINRA Expungement After Customer Sues Over Lehman and Citigroup Losses
July 26, 2011 - Gusrae Kaplan Bruno & Nusbaum's Marty Russo Wins $8.1 Million FINRA Reit Arbitration
July 23, 2011 - Former WaMu Brokers Prevail in FINRA Arbitration Solicitation Case
July 22, 2011 - TWO Explosive "Street Sweeper" Blogs Now Online
July 21, 2011 - Pro Se Broker Claimant Wins FINRA Arbitration In Wrongful Termination Case
July 18, 2011 - FINRA Arbitrators Recommend Expungement of "Clearly Erroneous" Customer Allegations
July 14, 2011 - How Many FINRA Arbitrators Does It Take To Throw A Flag?
July 13, 2011 - Claimants' Non-Lawyer Representative Muzzled by FINRA Arbitration Panel
July 13, 2011 - Wells Fargo Wachovia Lose $7 Million Employee Whistleblower Case
July 11, 2011 - Pro Se Former Employee Beat Wells Fargo / Wachovia in FINRA Arbitration
July 11, 2011 - Citigroup Says it Overpaid Former Managing Director -- he disagrees in FINRA Arbitration
July 8, 2011 - FINRA Arbitrators Slam Merrill Lynch Professional Clearing With Massive Damage Award
July 7, 2011 - Merrill Hit With Delayed Discovery Sanctions in FINRA Customer Arbitration
July 1, 2011 - Ameriprise Forgery Case: The turtle of self regulation
June 30, 2011 - Selling Away. Failure to Supervise. Punitive Damages. Discovery Sanctions. All in one FINRA Arbitration
June 29, 2011 - Employer Sues Employee in Mirror-Image FINRA Arbitration
June 28, 2011 - $2 Million RBC FINRA Employment Arbitrations: Did Everyone Lose?
June 28, 2011 - The Art of Fine Tuning FINRA Arbitration Damages: The $75 Million Claim
June 27, 2011 - Individual Broker Wins FINRA Employment Arbitration Against Citigroup Global Markets
June 21, 2011 - Edward Jones Broker Wins Expungement in Settled FINRA Customer Arbitration
June 20, 2011 - Merrill Lynch Crushed In Promissory Note Case By Employee Seeking $13.2 in Damages
June 17, 2011 - Non-Profit FINRA Wants to Ring Up A Sale?
June 16, 2011 - FINRA Arbitrators Award $575,000 Punitive Damages to Defamed Broker
June 15, 2011 - FINRA Arbitration Panel Re-Writes Defamatory Form U5 of Terminated Chase Employee
June 10, 2011 - Former Banc of America Broker Throws Kitchen Sink in FINRA Arbitration
June 3, 2011 - Unnamed UBS Brokers Demand Expungement in FINRA Arbitration
June 2, 2011 - US Airways Takes Off With $15 Million Auction Rate Securities Victory in FINRA Arbitration
June 2, 2011 - Merrill Lynch Says Late Is Not Better Than Never
June 1, 2011 - Penson Faced Multi-Million Dollar Day-Trading Claim in FINRA Arbitration
June 1, 2011 - FINRA Arbitration Win for LPL in Promissory Note and Rep Agreement Case
May 28, 2011 - Morgan Keegan's FINRA Arbitration Settled -- sez who?
May 26, 2011 - Claimant Throws Kitchen Sink at UBS -- But Gets Flushed Down the Drain
May 26, 2011 - Merrill Lynch Arbitration Shows Unique Impact of Baby Boomers
May 24, 2011 - UPDATE: FINRA Runs Into Trouble. Forced to Take Down Its New Disciplinary Actions Online Database
May 20, 2011 - UPDATE: The Wells Fargo Broker Who Would’nt Give In to FINRA Bar
May 20, 2011 - Estate Sues BD and Broker Over Lawyer's Designation of Ex-Wife as IRA Beneficiary
May 17, 2011 - RRBDlaw: the May FINRA enforcement updates (first round now online)
May 16, 2011 - Mother Sues Merrill Lynch Over Daughter’s Guardianship
May 16, 2011 - The Train Leaves the Station for One Tardy FINRA Customer Claim
May 13, 2011 - Wells Fargo Broker Never, Never, Never, Never Gave In to FINRA's Bar for Not Responding
May 12, 2011 - FINRA Arbitrators Award Two Women Over $1 Million for Sexual Harassment
May 11, 2011 - Bill Singer Replies to SEC Commissioner Aguilar's Call For Boardroom Diversity
May 6, 2011 - UBS's Costly (or somewhat) Runaround of Client
May 2, 2011 - Miscommunication and Misunderstanding in Edward Jones FINRA Arbitration
May 2, 2011 - Wells Fargo Scrambles Clients' Nest Egg. Bill Singer on Marketplace (NPR)
April 29, 2011 - Piper Jaffray, Morgan Stanley, and an Employee Can't Seem to Settle Down
April 21, 2011 - A Battle Royal for Terminated Merrill Lynch Employees (and one wife)
April 21, 2011 - Wells Fargo Crushed in FINRA Retention Award Arbitrations
April 19, 2011 - Public Customers Take Citigroup to the MAT for $54 Million in FINRA Arbitration Damages
April 14, 2011 - On the Precipice: Morgan Stanley, Citigroup, and an Unhappy Broker
April 7, 2011 - Public Customer Throws in the Towel Against Former Morgan Stanely Stockbroker in FINRA Arbitration.
April 5, 2011 - Former Employee Settles Promissory Note Case with Morgan Keegan
March 31, 2011 - Fidelity and Morgan Stanley Smith Barney Settle FINRA Arbitration
March 28, 2011 - Bill Singer's Analysis of March FINRA Cases Now Online at RRBDlaw.com
March 23, 2011 - FINRA Arbitration: Veni, Vidi — but a split Vici.
March 14, 2011 - Wells Fargo / Wachovia Loses Stunning Retention-Award Case Against Former Employee
March 11, 2011 - Wachovia / Wells Fargo Loses Stunning Retention-Award Case Against Former Employee
March 9, 2011 - Registered Rep Magazine's "Street Legal" Column Now Online. The saga of a bankrupt broker
March 7, 2011 - FINRA Arbitration Claimant Stipulates to Defaming Former Employee
March 4, 2011 - Chase Investment Services showed "colossal lack of foresight and attention"
March 3, 2011 - RRBDlaw.com's monthly FINRA updates now online. Full analysis by Bill Singer
March 1, 2011 - UBS FINRA Expungement: Good news and bad news for unnamed stockbroker
February 23, 2011 - Claimant Sues RBC for $37 Million -- BUT FINRA Arbitration Panel Whacks Him for $1.8 Million
February 23, 2011 - Hughes v. Cantor Fitzgerald: Is there a winner?
February 18, 2011 - High Noon for 113 Former Lehman Employees
February 14, 2011 - An Open or Shut Forgivable Loan Case Vexes UBS
February 2, 2011 - Wells Fargo Loses Defamatory U5 / Promissory Note Arbitration
January 31, 2011 - Unnamed Respondent Broker Seeks Vindication in Settled Arbitration
January 27, 2011 - Thar Be Monsters -- FINRA Raiding Case Ends With Odd Ruling
January 26, 2011 - False Shuffle Trips Up Blackjack Players
January 18, 2011 - FINRA Arbitrators Hit Firm for Failure to Supervise
January 18, 2011 - This Little Piggy(back) Ran All The Way to Arbitration
January 6, 2011 - FINRA Arbitrators Hit Securities America with Punitive Damages in Medical Capital Notes Case
January 5, 2011 - UBS Gets Shellacked in Breach of Contract Case
January 3, 2011 - Invesco Arbitrates Termination of (Non-?) Employee
January 3, 2011 - ARS Gratia Artis? Brokerage Wins Auction Rate Securities Arbitration
January 3, 2011 - Morgan Stanley's Nervous 401k Client
December 28, 2010 - Bill Singer's Monthly FINRA Cases Now Analyzed and Online at RRBDlaw.com
December 22, 2010 - Wachovia Whacks Former Broker in Promissory Note Case
December 16, 2010 - FINRA Arbitrations: The Audacity of Hope?
December 15, 2010 - Bill Singer's Street Legal Column (Registered Rep Magazine) and Street Sweeper Column (Forbes) Now Online
December 2, 2010 - Investacorp and Ladenburg Thalmann Named in Multi-Million FINRA Employment Dispute
November 22, 2010 - The Week's Wall Street Stories from Bill Singer
November 20, 2010 - NEW FINRA Monthly Disciplinary Cases Now Online with Analysis by Bill Singer
November 19, 2010 - Bill Singer Comments on November FINRA Montly Disciplinary Cases. Now online at RRBDLaw.com
November 18, 2010 - Customer Loses FINRA Arbitration Over VALIC IncomeLOCK Annuity Option
November 10, 2010 - Ya Win Some, Ya Lose Some: Customers Sue Brokers Over Tax Bills.
November 8, 2010 - The Stockbroker and The Dead Baby's Stolen Identity
November 4, 2010 - Former Employee Wins Over $5 Million Against Sterne, Agee & Leach.
November 3, 2010 - Schwab Plays With Fire and Gets Burned in Intra-industry Arbitration
October 26, 2010 - Bartleby the Scrivener Sues Banc of America Investment Services (an esoteric literary reference!)
October 24, 2010 - Bill Singer's Analysis of New FINRA Cases Now Online
October 22, 2010 - Customer Sues Stockbroker But Later Says He Doesn't Blame Him
October 21, 2010 - Whistleblower Wins FINRA Arbitration
October 20, 2010 - Former Joint Producers Sue Each Other
October 18, 2010 - Take It Or Leave It -- FINRA Arbitrator Calls Wells Fargo's Conduct Unconscionable.
October 15, 2010 - Cowen's Faithless Servant -- FINRA Arbitration Panel Says Gimme a Break
October 12, 2010 - Major Anthony Nelson Rubs Lamp and Gets His Wish: Over $11 Million Arbitration Victory!
October 7, 2010 - Wife Defrauded By Husband's Forgeries Sues Citigroup
October 7, 2010 - FINRA Arbitration Panel Rejects Duty to Advise on Tax Consequences by Broker
October 6, 2010 - Churning: What it is and how it should be monitored
September 28, 2010 - FINRA Arbitration Panel Awards $1 Compensatory Damage Against Former Employee
September 27, 2010 - RRBDlaw.com: New FINRA Cases Online With Analysis by Bill Singer
September 24, 2010 - FINRA Panel Imposes Punitive Damages - Another Lost Generation for Wall Street Reform.
September 22, 2010 - Jesup & Lamont Loses FINRA Arbitration Over Defamation -- What Goes Round, Comes Round?
September 21, 2010 - Claimant Wins Expungement of Defamatory Disclosures at FINRA Arbitration
September 20, 2010 - Dead Man Talking
September 14, 2010 - Registered Rep. Magazine /
September 13, 2010 - $10.7 Million FINRA Arbitration Award Against Rodman & Renshaw Former Employee.
September 2, 2010 - Former Ameriprise Employee Says Firm Lied to Him -- and FINRA Panel Forgives Promissory Note Debt
September 1, 2010 - Former UBS Employee Settles With Firm and Obtains Expungement of U5
August 31, 2010 - Elusive FINRA Reform
August 28, 2010 - Wells Fargo / Wachovia Wins And Loses Against Former Employee
August 25, 2010 - Spousal Cases: Till FINRA Do Us Part?
August 24, 2010 - RRBDLaw.com: New FINRA cases online and analyzed by Bill Singer
August 20, 2010 - A Nasty Partnership Split
August 17, 2010 - A Mother and Son's Real Estate Deal Goes Sour.
August 16, 2010 - One FINRA Arbitration.Three Respondents. Three Different Outcomes.
August 16, 2010 - A Whopper of A Story (or should I say a Big Mac?)
August 13, 2010 - TIAA-CREF and Wachovia in 529 Plan FINRA Arbitration
August 11, 2010 - Morgan Stanley Agrees to $800,000 Research Report Fine
August 10, 2010 - UBS Loses $80 Million ARS Arbitration
August 4, 2010 - One Egregious, Punitive FINRA Arbitration and One Inexplicable FINRA Arbitration Award.
August 2, 2010 - You Snooze, You Lose -- FINRA Arbitration Deemed Too Old to Proceed
August 2, 2010 - Last Man Standing Gets An Expungement
July 30, 2010 - FINRA Panel Rules Against Wells Fargo / Wachovia -- but was it a victory or loss?
July 28, 2010 - FINRA Arbitration Case: The $21 Million Broker Recruiting Protocol Claim
July 26, 2010 - FINRA Regulatory Cases Analyzed by Bill Singer. Major SEC Case Explained. E*Trade Problems Disclosed.
July 22, 2010 - FINRA Arbitrator Orders Expungement of Defamatory U5
July 21, 2010 - New FINRA Monthly Disciplinary Cases Now Online and Analyzed at BrokeAndBroker.com
July 20, 2010 - FINRA Arbitration Panel Hits Losing Customer Claimants With Sanctions
July 14, 2010 - A Pro Se Respondent and a Lawyered-Up Respondent: Similar Cases -- How did they fare?
July 6, 2010 - Former Associated Persons Slam FINRA Member Firms in Arbitration.
June 30, 2010 - Broker Loses EFL / Promissory Note Arbitration But Wins Dramatic Counterclaim
June 24, 2010 - A Hobson's Choice for Pro Se Respondents in FINRA Arbitrations
June 24, 2010 - A Hobson's Choice For Pro Se Respondents in FINRA Arbitrations
June 21, 2010 - RRBDlaw.com: New June FINRA Cases Now Online and Analyzed by Bill Singer
June 16, 2010 - Somehow, Someday, Somewhere -- a FINRA Customer arbitration.
June 3, 2010 - FINRA Arbitrator Tosses Raymond James Case. Bloomberg's Susan Antilla Critiques SEC's Schapiro.
May 28, 2010 - Public Customer Wins FINRA Arbitration But Comes Out a Loser
May 26, 2010 - UBS Wins $800,000 Against Former Employee, Who Wins $300,000 Against UBS.
May 20, 2010 - An Inexplicable FINRA Customer Arbitration. RRBDlaw.com Cases of Note Now Online!
May 19, 2010 - Time for a FINRA Tea Party
May 12, 2010 - Giving FINRA the Silent Treatment -- And Getting Barred for It.
May 7, 2010 - Let's All Settle Down: Former Employer and Employee Work It Out At the Last Minute
May 6, 2010 - An Instructive Employee Promissory Note Case (FINRA Arbitration Case)
May 6, 2010 - Time for a FINRA Tea Party. Out With the Old. In With the New.
May 5, 2010 - GUEST BLOG: FINRA Should Use the Benefits of Selling NASDAQ and Merging with the NYSE (Chepucavage and Broy)
February 20, 2009 - February FINRA Cases of Note on RRBDLaw.com by Bill Singer
February 20, 2009 - GUEST BLOG: Regulatory Reform in the Obama Era. (Chepucavage and Broy)
February 19, 2009 - Richard Ketchum and FINRA: Time to Answer for his Past?
February 19, 2009 - Bill Singer Endorses Jones
February 10, 2009 - Can the SEC Continue to Oversee FINRA ? (By guest bloggers Broy and Chepucavage)
February 5, 2009 - Driving a Point Home: Stockbroker Registration
February 3, 2009 - Madoff: Right Under FINRA's Nose
December 12, 2008 - As Woody Allen Said
September 16, 2008 - RRBDLAW.com: July FINRA Cases Analyzed by Bill Singer
August 6, 2008 - Did You Hear the One About the Dancer and the Broker?
July 29, 2008 - FINRA's Regulatory Mulligan: SEC Not Amused
July 22, 2008 - New FINRA Disciplinary Cases Analyzed by Bill Singer
July 16, 2008 - The One-Year Suspension that is a lifetime Bar
July 9, 2008 - Charging Commissions on No-Load Funds?!
June 12, 2008 - One Reader Writes In -- and persuasively.
June 2, 2008 - In Response to JoeDaBroker: Now or never
May 30, 2008 - Does FINRA have the integrity to do the right thing?
May 29, 2008 - Is the FINRA Dissident/Reform Movement Dead?
May 28, 2008 - FINRA and Lt. Col. Johnson Matter Appears Resolved!
May 12, 2008 - Regulatory Double Standard: Dissing your Settlement
March 24, 2008