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After a 26-Year Regulatory Nap, FINRA Discovers Firm's WSPs Are Inadequate
January 8, 2024
A Not So Final Closing of the Purchase of a Broker Dealer
July 26, 2023
FINRA and Citigroup Global Markets Not SHO Enough
December 20, 2022
Whistleblower Angered by SEC's Split of $27 Million Award
September 27, 2022
Barred Stockbroker Charged With Five Counts of Wire and Mail Fraud. Did Any Victim Do Any Due Diligence?
August 18, 2022
Parietti's Predicament And Prosecutors' Puzzling Principles
August 8, 2022
Pro Se Customer Sues Robinhood But Fails To Show For Round One of FINRA Arbitration
April 26, 2022
UPDATE: The Google, Candido Viyella, Morgan Stanley, Fundacion Nicor Panama Saga: a Bill Singer 2022 Copyrighted Article fighting DMCA Takedowns
February 24, 2022
The Candido Viyella, Morgan Stanley, Fundacion Nicor Panama Saga: a Bill Singer 2022 Copyrighted Article fighting DMCA Takedowns
February 21, 2022
Customer Lawsuit Puts Robinhood In The News Again
February 15, 2022
SEC Director Calls Awkward Football Audible During Wall Street Gamification Bowl
February 14, 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 Says It Had No Part In Deciding Schwab Customer Arbitration -- Seriously?
December 27, 2021
Veteran Stockbroker Sues For Unjust Termination Involving Sales Goals and Outside Business Activities
November 19, 2021
FINRA NAC Affirms OHO But Eliminates Heightened Supervision
October 4, 2021
FINRA, Crypto, Covid, and Outside Business Activities
September 22, 2021
DBS Throws Director Under the FINRA Regulatory Bus
August 24, 2021
At FINRA, Boys Will Be Boys But Girls Should Act Like Proper Ladies
August 4, 2021
FINRA Fines and Suspends Rep For Seeking COVID Loan
July 22, 2021
Who's Zooming Whom in FINRA Arbitration and Federal Court?
June 29, 2021
FINRA Censures and Fines Citigroup Global Markets Inc. for Failed Supervisory System
June 17, 2021
All Along the Watchtower FINRA Defends Against the Invading Notaries
June 15, 2021
FINRA Enters Into Fair Settlement Involving Customer Loans and Outside Business Activities
April 20, 2021
The Great FINRA Hand Sanitizer Caper!!!
March 30, 2021
The Grandfather FINRA OBA Paradox
March 15, 2021
A Court Seems Unimpressed by Financial Exploitation of an Elderly Widow
March 10, 2021
GUEST BLOG [In]Securities: Instant Karma By Aegis Frumento Esq
February 19, 2021
GUEST BLOG [In]Securities: Soon May the Tendieman Come By Aegis Frumento Esq
February 5, 2021
A History of SOES, Daytrading, NASD, NASDAQ, DOJ, SEC, Congress, and Robinhood -- and a Massachusetts Complaint and Another FINRA Fine
December 17, 2020
FINRA Fines and Suspends Merrill Lynch Rep Over Apartment Rentals
October 14, 2020
[In]Securities Guest Blog: Don't Know Much by Aegis Frumento Esq
October 9, 2020
FINRA Imposes Fine and Suspension Over Deceased Second Cousin Once Removed
September 11, 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
9Cir Tames Sharemaster After Epic Battles With FINRA and SEC
July 10, 2020
UPDATE: Federal Court Orders Rare TRO In Favor Of Terminated Rep Against Investacorp
May 15, 2020
FINRA AWC Has Potential Precariously Perched Atop Conjecture and Speculation
April 24, 2020
[In]Securities Guest Blog: Hello In There by Aegis Frumento Esq
April 9, 2020
We Will Prevail: Compassion, Sacrifice, and Endurance
March 20, 2020
Hot Shoe Burnin' Down Wall Street In FINRA Morgan Stanley Panama Arbitration
February 27, 2020
[In]Securities Guest Blog: Driving That ESOP Trolley by Aegis Frumento Esq
January 23, 2020
Ameriprise Didn't Know When To Fold In Terminally Ill Customer Case
January 14, 2020
FINRA Sanctions Stockbrokering Paper Pushing Lawyer
December 27, 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
Former Beazer Homes Chief Accounting Officer Loses Stay of SEC Suspension
September 30, 2019
[In]Securities GUEST BLOG: Fantasy by Aegis Frumento Esq
September 26, 2019
FINRA Arbitrators Say Who Is On First. I Don't Care. I Don't Give A Darn
September 16, 2019
GUEST BLOG: Hero Takes a Fall by Aegis Frumento Esq
June 13, 2019
Something's Happening With A Discrimination Case But You Don't Know What It Is, Do You Mr. Jones?
May 22, 2019
5 OBAs, 2 PSTs, $15,000 Fine and 10 Month Suspension in 1 FINRA AWC
May 10, 2019
Federal Court Remands SEC's Willfulness Findings in Robare Form ADV Case
May 1, 2019
Many Rivers to Cross But Stockbroker Just Can't Find His Way Over FINRA
April 26, 2019
GUEST BLOG: Inversions by Aegis Frumento Esq
April 11, 2019
GUEST BLOG: Singin' the Varsity Blues: Leave Them Kids Alone by Aegis Frumento Esq
March 21, 2019
Outside Business Activities and Away Account Cost Stockbroker $7,500 and Four Months on the Bench
February 20, 2019
BREAKING NEWS: Roger Stone Jr. Indicted on Obstruction, False Statements, and Witness Tampering
January 25, 2019
FINRA Rule 8210 Demands End With Stockbroker Bar
December 10, 2018
GUEST BLOG: The Soft-Headed Side of Sears by Aegis Frumento Esq
October 25, 2018
Stuck Inside Of Mobile with the Holiday Inn Blues Again
October 16, 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
GUEST BLOG: A Trillion Reasons By Aegis J. Frumento, Esq.
August 16, 2018
Open Letter to FINRA CEO Robert Cook, Chair Bill Heyman, and Board of Governors
August 15, 2018
Mean Spirited FINRA Must Respect Membership Median
August 10, 2018
FINRA Arbitrators Award Commission to Associated Person For Raising Capital for Customer
July 26, 2018
UPDATE: SEC Vacates PCAOB Action in Laccetti and Cancels Sanctions
July 18, 2018
Crowdfunding Portal StartEngine Loses Customer Arbitration
July 16, 2018
Mentoring Wall Street Professionals About Determination and Persistence
July 6, 2018
GUEST BLOG: R.I.P. PCAOB Audits by Stephen Kohn
June 12, 2018
FINRA Settles UIT and Instant Messaging Case
May 31, 2018
Sharemaster the Beastmaster Tames FINRA and SEC in PCAOB Dispute
May 7, 2018
FINRA Arbitrators Say Wells Fargo Bank Breached Duty of Customer Care
April 27, 2018
FINRA Bogarts the Weed In Medical Marijuana Settlement
April 20, 2018
FINRA Books Outside Business Activity Fine and Suspension
April 13, 2018
Federal Appeals Court Reverses PCAOB and SEC over Denial of Ernst & Young Expert Witness
April 3, 2018
Federal Courts Wrestle With Opening Doors To US Courthouse to KOSPI Class Action
April 2, 2018
Bill Singer Esq Comments on FINRA Notice To Members 18-08: Outside Business Activities
March 7, 2018
FINRA Proposes Consolidation of Outside Business Activities and Private Securities Transactions Rules
February 28, 2018
30 Months Of Violations Under FINRA's Nose
February 16, 2018
Abuse And Harassment On Wall Street
January 25, 2018
Has FINRA Just Threatened To Shut Down Wall Street's Fantasy Leagues and Office Sports Pools?
December 22, 2017
The FINRA Gestalt
December 14, 2017
Bleak Marshall Family Drama Hits FINRA Arbitration
December 4, 2017
Not Fade Away Tops FINRA Regulatory Chart
December 1, 2017
97 Year Old Client Names Stockbroker Executor and Beneficiary
November 10, 2017
Too Many Questions In Edward Jones TOD Account FINRA Arbitration
October 24, 2017
$25,000 Investment in Collectible Medals Earns FINRA Bar
October 6, 2017
FINRA Doesn't Like Dinar Time
September 29, 2017
How Long Has This Been Going On? A Case of Delayed FINRA Regulation
September 26, 2017
Starship Enterprise, Lone Ranger, Tonto, Silver, Pumpkin Spice Latte, And FINRA Settlement
September 18, 2017
How Long Has This FINRA Violation Been Going On?
September 8, 2017
FINRA Calls PST Then OBA Then PST. Omaha! Omaha!! Omaha!!!
August 28, 2017
FINRA Gets One Last Slap in Marine Veteran's Face
July 31, 2017
Grassroots Movement to Revise FINRA Fine and Suspension of Richard Botkin
July 25, 2017
BREAKING NEWS: Second Circuit Overturns Rabobank LIBOR Convictions
July 19, 2017
I Scream, You Scream, FINRA Screams for Ice Cream
July 18, 2017
Stephen Kohn and Hugh Hewitt Champion Richard Botkin's FINRA Appeal
July 14, 2017
UPDATE: FINRA Rides The Thunder In Vietnam Movie Case
July 7, 2017
FINRA Rides The Thunder In Vietnam Movie Case
July 6, 2017
FINRA's Foolish Inconsistency
June 9, 2017
FINRA Hoisted With Its Own BrokerCheck Petard
May 9, 2017
Broker Dealer Owner Smoked by FINRA in Cannabis Deal
April 20, 2017
FINRA Settles With Advisor Who Acted as POA and Health Surrogate
April 18, 2017
The Dry Cleaner, Planet Alderaan, FINRA, Wells Fargo, and the Disturbed Force
March 31, 2017
Chile Client Cases Chill FINRA
March 16, 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
Bill Singer Pans FINRA AWC Peeps Protocol
March 7, 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
GUEST BLOG: This Way to Financial Services Reform
February 6, 2017
Promissory Notes Sales Cause FINRA Domino Effect
February 1, 2017
Stockbroker Back Dated Audited Partnership Agreements For Tax Preparer Clients
January 23, 2017
SEC Opts For Intercircuit Nonacquiescence
January 9, 2017
BREAKING NEWS: Corzine Ordered to Pay $5 Million in MF Global Case
January 5, 2017
FINRA Rule 3270 Outside Business Activities Analysis by Bill Singer
January 2, 2017
UPDATE: SEC Proceeding Is A Travesty of a Mockery Of a Sham of a Mockery of a Travesty of Two Mockeries of a Sham
December 26, 2016
Godzilla, Frankenstein, tradeMONSTER and Not So Obvious Error
November 10, 2016
SEC ALJ Sees the Relevant in the Room
October 20, 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
Sportspicks.com Founder Loses FINRA Regulatory Wager
September 27, 2016
Stockbroker Slips Off Plymouth Rock Movie Studio Deal
September 22, 2016
Career Skid Marks Left By Altered Auto Insurance Declaration Page
September 6, 2016
SEC Proceeding Is A Travesty of a Mockery Of a Sham of a Mockery of a Travesty of Two Mockeries of a Sham
August 31, 2016
SEC Splits Over CPA Bars For PCAOB Audit
August 15, 2016
FINRA Pulls Over JP Morgan Broker In Luxury Car Biz
August 9, 2016
Double Trouble On Wall Street
August 4, 2016
Citigroup Investment Banker Punished by FINRA for Good Deeds?
August 3, 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
Earn Reward Points in Ticket Biz Scam With 25 Bogus AMEX Cards
July 20, 2016
Bill Singer Supports ROBERT MUH for 2016 FINRA Small Firm Governor
July 11, 2016
A Message From ROBERT KEENAN,Candidate for FINRA Small Firm Governor
July 8, 2016
Lonely Game of Masquerade As FINRA Hides Two Entire Countries
June 29, 2016
Take What You Have Gathered From Coincidence In Oral Advisory Fee Agreement
June 22, 2016
CCO Fined and Suspended For Missing Private Securities Transaction
June 14, 2016
BREAKING NEWS: 2nd Circuit Delivers Blow to Tilton Appeal
June 2, 2016
The Paralysed Force of the SEC And Its Gesture Without Motion
May 31, 2016
SEC Can't Reach Federal Inmate For Telephonic Hearing
May 26, 2016
Online Microcap Finder Fee Platform Raises FINRA Regulatory Concerns
May 12, 2016
Approved Outside Business Activity Morphs Into A Troubling Private Securities Transaction
April 27, 2016
Pennystock Sponsored Content Fraud Ends With SEC Bars
April 7, 2016
A Stockbroker, His Former Customer, A Restaurant, And The New Face of Wall Street Regulation
March 30, 2016
UPDATE: Net Capital Violations Become Federal Criminal Case
March 23, 2016
Wall Street Employee Fined and Suspended For Being In 2 Places At Same Time
March 21, 2016
Hiding In Plain Site: Undisclosed Criminal Past Was Undetected
March 10, 2016
You Hear The One About The Bleeding Guy in the Hospital Who Shot Himself?
February 25, 2016
UPDATE:Brokerage CEO Sentenced to Prison in Net Capital Case
February 19, 2016
FINRA Impounds Stockbroker Over Used Car Biz Loans From Customer
February 1, 2016
FINRA Fines and Suspends Stockbroker Over Executor Role
January 27, 2016
FINRA Fines And Suspends Rep For Service as Director
January 22, 2016
BrokeAndBroker.com Blog Suspends Market Commentary Per Desolation Row Side Car Rules
January 7, 2016
Digital Double Dip Tried With Wall Street Paychecks
December 11, 2015
Net Capital Violations Become Federal Criminal Case
November 12, 2015
Hit And Run Wall Street Regulation Immunized In Goble and North American Appeal
October 23, 2015
A Little Biz On The Side Gets Rep Fined And Suspended
October 14, 2015
Stockbroker Fired and Barred For Role With Privately Held Company
August 24, 2015
Major Fine Slams FINRA Firm For Supervisory Violations
July 22, 2015
Grexit, Laurel & Hardy, George Bernard Shaw, And Bob Dylan
July 6, 2015
BREAKING NEWS: Supreme Court Rules On Gay Marriage
June 26, 2015
BREAKING NEWS: Supreme Court Issues Historic Obamacare Opinion
June 25, 2015
SEC Issues Only 21st Stop Order In Two Decades
June 17, 2015
FINRA Says You've Got A Friend, Fine, and Suspension
June 12, 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
Online Coupon Business Cuts Registered Person
March 6, 2015
Office Condo LLC and Residential Property LLC Add Up To Outside Business Violations
March 2, 2015
Online App Biz Clicks Registered Rep Into OBA Trouble
February 4, 2015
The Butcher, Baker, Candlestick Maker and Wall Street CPA
January 22, 2015
SIFI Snoopy In Constitutional Dogfight With Feds
January 15, 2015
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