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D.A Davidson Wins Unjust Enrichment Arbitration Against Ghost of Christmas Present Former Employee
December 14, 2023
SEC Sustains in Part and Remands FINRA Case Against Southeast Investments and President Black
December 8, 2023
Wall Street Regulators Provide Express Check-Out Line for Goldman Sachs
September 26, 2023
The Hidden FINRA Arbitration Costs for Not Repaying a Promissory Note
September 6, 2023
Two Towering Dissents Against CFTC Order Involving Goldman Sachs
September 1, 2023
UPDATE: Bill Singer, Esq. Files Form TCR with SEC Seeking Investigation of FINRA Election Interference
August 29, 2023
Federal Court Says Mere Email Noting Change of Employment Does Not Arise to Solicitation
July 18, 2023
Wells Fargo Refuses Wife's Demand To Liquidate Joint Account and Send Her 50% of Proceeds
June 9, 2023
SEC Orders FINRA to Raise Its Arbitration Forum Gate For Expungements
May 30, 2023
A Call for Boycott: FINRA Board of Governors' Cowardly Silence Becomes Thunderous
May 1, 2023
FINRA Bars former Securities America Rep For Conversion
April 21, 2023
GUEST BLOG: [In]Securities: The Influencers: The SEC Grounds Stars' TRX by Aegis Frumento Esq
March 31, 2023
FINRA Doesn't Bank On It When It Comes To Wife Of Former UBS Employee
March 27, 2023
The Financial Professionals Coalition: Join Us Today
March 8, 2023
Blackbook Capital Versus FINRA: A Decade of Battle
March 6, 2023
Federal Court Deems FINRA Absolutely Immune in Expungement Lawsuit
February 28, 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
FINRA NAC Fines and Suspends Rep For Paying Commissions to an Unregistered Person
January 10, 2023
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
To Err Is Human. To Forgive Is A FINRA Fine.
November 14, 2022
FINRA Cites RBC Capital Market's Supervisory Review, Personnel Turnover, and Outdated Tech
November 1, 2022
Wells Fargo Wins FINRA Arbitration Against Former Rep With Three On And Off Lawyers
September 21, 2022
Federal Court Denies JPMorgan TRO Against Former Employee But Grants Expedited Discovery
September 15, 2022
Unsettling Settlement Puts FINRA's Board of Governors in Troubling Light
August 29, 2022
10Cir Reinstates in Part La'Tonya Ford's Retaliation /Hostile Work Environment/Constructive Discharge Claims Against Jackson National
August 24, 2022
Former Ameriprise Rep Files Lawyer Malpractice Complaint After Losing FINRA Promissory Note Arbitration
August 22, 2022
GUEST BLOG: [In]Securities: A Hard Rain's A-Gonna Fall: A Whistleblower Retaliation Case Washes Out by Aegis Frumento Esq
August 19, 2022
Love the One You Whiff: A Federal Case Involving Two Sets of Golf Clubs and a Winged Foot Membership
July 20, 2022
Charles Schwab SIP Robo-Adviser Cited In FINRA Arbitration
July 5, 2022
Edelman Financial Goes After Former Employee in Federal Court
June 27, 2022
Guest Blog: Now You See It, Now You Don't by "Regulated or Aggrieved"
June 15, 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
TradeZero, Meme Stocks, and High Dudgeon From the SEC
May 26, 2022
Wells Fargo Sues Over Transitional and Production Bonuses But Rep Fights Back
May 13, 2022
FINRA Arbitration Panel Slams Cetera Advisors with $3 Million Defamation Damages
April 29, 2022
GUEST BLOG: Advisor Perspectives - An Interview with Recently Transitioned Advisors by Michael King of Michael King Associates
April 14, 2022
3Cir Considers Absolute Privilege For Alleged Form U5 Defamation
April 4, 2022
FINRA Arbitrators Hit Commonwealth Financial with Compensatory and Punitive Damages in Defamation Case
March 31, 2022
Wells Fargo Promissory Note Case Enters Its Second Decade of Litigation
March 23, 2022
One Day In the Life Of Lanny Breuer (the Moscow Anti-Corruption Summit) - Revisited 11 Years Later
March 17, 2022
UPDATE: The Google, Candido Viyella, Morgan Stanley, Fundacion Nicor Panama Saga: a Bill Singer 2022 Copyrighted Article fighting DMCA Takedowns
February 24, 2022
Federal Court Denies J.P. Morgan Securities Expedited Discovery in Solicitation Case
February 23, 2022
The Candido Viyella, Morgan Stanley, Fundacion Nicor Panama Saga: a Bill Singer 2022 Copyrighted Article fighting DMCA Takedowns
February 21, 2022
Court Finds FINRA Arbitration Process Not Fundamentally Fair
February 4, 2022
JP Morgan Securities' Regional Director's Affidavit Fails to Carry Day in TRO for Impermissible Solicitation
January 25, 2022
FINRA Arbitration Award Limits Social Media Liking and Linking
January 18, 2022
FINRA Arbitrators Award $1 In Response to $1 Million In Damages Sought (Sort of)
December 13, 2021
There's Something Happening Here (at a FINRA Arbitration ) But What It Is Ain't Exactly Clear
November 8, 2021
Stipulated Arbitration Award Ends TD Ameritrade Solicitation Dispute
October 28, 2021
After Morgan Stanley Raised Serious Questions in Failed TRO Against Former Employee, The Parties Stipulate to Preliminary Injunction
October 19, 2021
The Wheels on the Bus Go Round and Round and Drive Over A Wall Street Career
September 16, 2021
Federal Court Says Signed, Sealed, Delivered, Oooh Baby, It's Arbitration
August 26, 2021
Morgan Stanley Raises Serious Questions in Failed TRO Against Former Employee
August 11, 2021
Another Office Girl Gets Slammed By FINRA
July 29, 2021
GUEST BLOG: Transitioning to Independence by Michael King of Michael King Associates
July 16, 2021
FINRA Arbitrators Directly Nullify Indirect Non Solicitation Agreement
July 13, 2021
The SEC Says Sponsored Research Didn't Disclose It Was Paid For
July 1, 2021
FINRA Censures and Fines Citigroup Global Markets Inc. for Failed Supervisory System
June 17, 2021
FINRA Fines and Suspends LPL Rep For Paying Commissions to an Unregistered Person
June 10, 2021
GUEST BLOG: FINRA Withdraws Proposed Expungement Rule by Nancy L. Hendrickson Esq
June 2, 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
Desperately Seeking FINRA Arbitration On Remand From Federal Court
April 15, 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
GUEST BLOG: Considering Breaking Away from a Wirehouse? The Pros and Cons of Going Independent by Michael King of Michael King Associates
April 1, 2021
FINRA Censures and Fines Securities America Over Outsourced Onboarding
March 2, 2021
The Saga of FINRA Versus Kimberly Springsteen-Abbott
March 1, 2021
GUEST BLOG: COVID-19's Impact on Financial Advisors / How the Pandemic is Changing the Way Advisors Work by Michael King of Michael King Associates
February 26, 2021
Not Getting Away With What You Are Trying To Get Away With On Wall Street
February 22, 2021
GUEST BLOG [In]Securities: Instant Karma By Aegis Frumento Esq
February 19, 2021
Wells Fargo Collects Underpants and Makes Profit But Can't Prove Phase 2 Arbitration Agreement
January 14, 2021
Moving the Goal Line In a FINRA Expungement Arbitration
December 30, 2020
A History of SOES, Daytrading, NASD, NASDAQ, DOJ, SEC, Congress, and Robinhood -- and a Massachusetts Complaint and Another FINRA Fine
December 17, 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
GUEST BLOG: Bill Singer Talks To Industry Recruiter Michael King of Michael King Associates
November 19, 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
FINRA Fines Small Firm And its Owner For Misclassification of Expenses
October 21, 2020
Former Cetera Rep Sues AdvisorNet Financial Over Alleged Supervision and Compliance Failures
October 8, 2020
Discovery Misconduct by FINRA Enforcement Prompts Tepid Response from Regulator
September 22, 2020
Wells Fargo Sues Over Transitional and Production Bonuses And Rep Fights Back
September 15, 2020
FINRA Fines and Suspends Rep for Transferring Customer List to New Employer
September 10, 2020
GUEST BLOG: Bill Singer Talks To Industry Recruiter Michael King of Michael King Associates
September 2, 2020
A History of SOES, Daytrading, NASD, NASDAQ, DOJ, SEC, Congress, and Robinhood
September 1, 2020
GUEST BLOG: Bill Singer Talks To Industry Recruiter Ron Edde of Millennium Career Advisors
August 26, 2020
Edward Jones Wins TRO Against Former Employee in Solicitation and Trade Secrets Case
August 24, 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
FINRA Borrowing Rule Seems to Say What It Means But It Doesn't Actually Mean What It Says
July 22, 2020
Bridgewater Over Troubled FINRA Waters
July 15, 2020
Hancock Whitney Investment Consultant Stung with Non-Solicit TRO
July 6, 2020
Wells Fargo Promissory Note Case Enters Its Eighth Year of Litigation
June 15, 2020
Wells Fargo Sues Over Transitional and Production Bonuses And Rep Fights Back
June 3, 2020
Market to Hit New Highs, Shut Down Was An Historic Mistake Says Professor Jeremy Siegel
May 27, 2020
Federal Court Cites Quintessential Shotgun Pleading and Myriad of Motions in FINRA Arbitration Appeal
May 22, 2020
[In]Securities Guest Blog: Life's for the Living by Aegis Frumento Esq
April 23, 2020
Federal Courts Consider Disturbing FINRA Customer Arbitration Decision
April 17, 2020
[In]Securities Guest Blog: Who's Zoomin' Who by Aegis Frumento Esq
March 19, 2020
Citizens Securities Wins TRO in Non-Solicitation Federal Court Action
March 16, 2020
Hot Shoe Burnin' Down Wall Street In FINRA Morgan Stanley Panama Arbitration
February 27, 2020
The Saga of FINRA Versus Kimberly Springsteen-Abbott
February 10, 2020
Guest Blog: The 10 Warning Signs of a Crypto Scam by Jesus Cedeno
February 6, 2020
[In]Securities Guest Blog: Driving That ESOP Trolley by Aegis Frumento Esq
January 23, 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
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
Raymond James Rep Can't Get No Non-Attorney Representative To Not Make No FINRA Arbitration Proffer
January 2, 2020
Appellate Court Sustains Criminal Conviction in Schwab Restraining Order Dispute
December 9, 2019
[In]Securities Guest Blog: WeWork Works It Out by Aegis Frumento Esq
December 5, 2019
Fee Based Rep Seeks Expungement Over Commissions He Never Charged
December 4, 2019
[In]Securities Guest Blog: Everybody Knows by Aegis Frumento Esq
October 31, 2019
Texas Two-Step: 2 FINRA Arbitrations, 2 Texas State Courts, and 2 Texas Federal Courts
October 16, 2019
Does Your Brokerage Contract Bite?
October 9, 2019
Getting the Girl to Do It On Wall Street
October 4, 2019
Another Obituary for Wall Street
October 2, 2019
FINRA Arbitrators Angered By Raymond James Tactics
September 25, 2019
Client Associate Takes 4 Years of Rep's CE
September 24, 2019
[In]Securities GUEST BLOG: Not the One You Need by Aegis Frumento Esq
September 12, 2019
Court Allows Wells Fargo Stockbroker to Contact Former But Not Current Clients
September 10, 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
Court Says Morgan Stanley Employee Failed to Opt Out of Arbitration Clause
August 27, 2019
District Court Denied Morgan Stanley Injunction In Non Solicitation Case
August 9, 2019
Barclays' Bank Shot Caroms Into Federal Court Reprimand
August 8, 2019
Former LPL Stockbroker Suspended and Fined For Customer Borrowing
July 9, 2019
GUEST BLOG: Pursuing America by Aegis Frumento Esq
July 3, 2019
This Is Not A Pipe. This Is Not A Final, Appealable Order
July 1, 2019
Courts Affirm FINRA Award Via Virtual Naming of John Does In Customer Arbitration
June 5, 2019
Seller's Remorse Upends Investment Firm Sale In FINRA Arbitration
May 8, 2019
Bottle of White, Bottle of Red, Perhaps An Assisted Living Bond Instead at FINRA Arbitration
May 3, 2019
GUEST BLOG: Acts of Code by Aegis Frumento Esq
May 2, 2019
UPDATE: Banker's Affair With Customer's Husband Lands Safra In FINRA Arbitration
April 29, 2019
GUEST BLOG: Overlooking Maple Street by Aegis Frumento Esq
April 25, 2019
GUEST Blog: The Strangled Cries of Lawyers in Love by Aegis Frumento Esq
April 18, 2019
UBS Wins EFL Arbitration On Wall Street With No Name
April 17, 2019
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
Banker's Affair With Customer's Husband Lands Safra in FINRA Arbitration
April 12, 2019
UBS Wins Promissory Notes Arbitration After Four Delays And A Doctor's Note
March 29, 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
Morgan Stanley Female Rep Survives Former Advisor Program Arbitration
March 11, 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
GUEST BLOG: Gods Help Us, Every One by Aegis Frumento Esq
February 7, 2019
Federal Court Says Former Raymond James Employee Was On Notice of FINRA Arbitration
January 14, 2019
GUEST BLOG: Tucker Carlson, AOC, and the 70% Tax Rate by Aegis Frumento Esq
January 10, 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
GUEST BLOG: Bitcoin is Not Blockchain's Best Use Case by Aegis Frumento Esq
January 3, 2019
Ir-Rationale FINRA Merrill Lynch EFL Arbitration Decision Cited by Tax Court
December 31, 2018
Hymn for the Missing FINRA Public Customer Claimant
December 18, 2018
GUEST BLOG: Blaming Nobody by Aegis Frumento Esq
December 6, 2018
Son Calls FINRA Senior Helpline About Trading In Mom's Account
November 27, 2018
FINRA Bars Analyst For Biting Off More Than She Could Chew
November 13, 2018
GUEST BLOG: Here Be Dragons by Aegis Frumento Esq
November 1, 2018
GUEST BLOG: FINRA Dictator of Dispute Resolution by Dochtor Kennedy, Esq
October 24, 2018
11th Circuit Rejects Mandatory FINRA Arbitration By Customers
September 25, 2018
GUEST BLOG: How the SEC Would Run (and Ruin) Your Firm by Aegis Frumento Esq
September 13, 2018
Justify Ownership in Deal Genuine For $5.7 Million Abandoned Funds
August 31, 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
10 Year Employee Forgivable Loan Battle Frustrates UBS
August 13, 2018
GUEST BLOG: That Long Strange Trip from SunTrust to Wells Fargo by Aegis Frumento Esq
August 2, 2018
FINRA Arbitrators Award Commission to Associated Person For Raising Capital for Customer
July 26, 2018
FINRA Arbitrator Pens Expungement Decision Perfection
July 24, 2018
UPDATE:Non-Attorney Representatives Involved In FINRA Arbitration Blight
July 23, 2018
87 Year Old Stifel Nicolaus Customer, His Stockbroker, and 33 Blank Account Checks
July 17, 2018
Travelin' Man Comes To End of Wall Street Line
July 11, 2018
SEC Seeks to Reform Its Whistleblower Process
July 3, 2018
The Deceased Father, Claimant Mother, Daughter, Son In Law Stockbroker, and a Kickboxing Investment
June 26, 2018
Is FINRA Sleepwalking Through Member Firm Examinations?
June 20, 2018
The Imposter, The Signature, The Unregistered Associate, and a FINRA Bar
June 6, 2018
2 Lies to FINRA Add Up to 1 Bar
June 4, 2018
As the FINRA WORM Turns
May 25, 2018
FINRA Stretches Definition of Participating in a Private Securities Transaction
May 18, 2018
FINRA Arbitrator Recommends Multiple Expungements for Veteran Stockbroker
May 14, 2018
Solicited System Snafu Stiffs Settling Stifel Stockbroker
May 2, 2018
Former Ameriprise Rep Wins Split Decision In FINRA Arbitration
April 25, 2018
FINRA Arbitrators Dissolve RIA / BD Lacking Operating Agreement
April 24, 2018
Rashomon Plays Out In Merrill Lynch Discretionary Case
April 16, 2018
Securities and Exchange Commission Imposters Target Public
April 5, 2018
Federal Courts Wrestle With Opening Doors To US Courthouse to KOSPI Class Action
April 2, 2018
Merrill Lynch Employee and AllianceBernstein Work It Out In Unfair Competition Dispute
March 16, 2018
CCO Fined and Suspended For Amending Her Own U5
March 8, 2018
Citi Hit With Over $4 Million Award In Wrongful Termination Arbitration
March 5, 2018
Non-Attorney Representatives Involved In FINRA Arbitration Blight
March 1, 2018
Wells Fargo Sustains Stunning Promissory Note Loss
February 26, 2018
Rankles Raised In FINRA Expungement
February 8, 2018
Ameriprise and Former Rep Battle It Out Over EFL and Defamation
February 1, 2018
The SEC, The Federal Inmate, And The Florida Bar Advice
January 29, 2018
Abuse And Harassment On Wall Street
January 25, 2018
A Hard Rainmaker Gonna Fall At FINRA
January 12, 2018
FINRA Wrestles With No Debt False Statement Versus Untrue One
December 28, 2017
Arbitrators OK Raymond James Liquidation of JTWROS Account for Broker Husband's Loan
December 21, 2017
CEO CCO FINOP Fined And Suspended Over Classification of Personal Expenses
November 20, 2017
FINRA Schrodinger Cat Is Dead, Alive, and a Zombie
November 7, 2017
$3 Million Awarded In UBS FINRA Employment Dispute
October 30, 2017
Rep Defends Herself Against Ameriprise EFL Arbitration
October 18, 2017
Wachovia Customer Sues Wells Fargo Over FundSource Losses
September 20, 2017
Sewage Release By Wall Street Regulators
August 24, 2017
Newman and Salman Come Into Play With Conradt Appeal
August 23, 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
$5.5 Million Power of Attorney Doctor Sees Dead Lawyers
August 11, 2017
Federal Prosecutors Throw In Towel Against Benjamin Wey
August 9, 2017
Employee Wins Over $1 Million In Fraudulent Inducement Hiring Case
July 28, 2017
FINRA Arbitrators Okay Firing For Failure To Recognize Questionable Activity
July 17, 2017
SEC Settlement Cites Trading Ahead of Research
June 27, 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
FINRA Fines And Suspends Husband For Adding His Wife As Customer's Annuity Beneficiary
June 20, 2017
Benjamin Wey Wins Suppression Order In Securities Fraud Criminal Case
June 19, 2017
UPDATE: Potentially Dubious Flexible Rescheduling Of SEC Hearing And Awry,Alaska Cruise
June 14, 2017
Sales Assistant and Broker Impersonate Client and Son
June 12, 2017
FINRA's Foolish Inconsistency
June 9, 2017
This Damnable Sin
May 23, 2017
GUEST BLOG: At the SEC, One Year Equal 1,825 Days
May 22, 2017
Potentially Dubious Flexible Rescheduling of SEC Hearing
May 19, 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
Merrill Lynch Employee Flies First Class After Mystery Man Misuses Corporate Card
April 21, 2017
FINRA Settles With Merrill Lynch Rep Who Tried To Sell Customer Information
April 11, 2017
GUEST BLOG: Flawed Attempt for a Good Idea
April 7, 2017
Casino Bets Fade Investors Retirement Savings
April 5, 2017
Where There's Willfulness There's No Way At FINRA
March 28, 2017
Damnable Costs of FINRA Expungement
March 20, 2017
Stifel Gives It Away In SEC Settlement
March 15, 2017
The Dead Customer, Her Son, Trading Losses, and Stockbroker's Expungement
March 3, 2017
FINRA Sanctions Emailing of Private Consumer Info
March 2, 2017
SEC Will Not Appeal Bartko And Posts Online Form For Reversing Collateral Bars
February 24, 2017
FINRA Expungement Arbitration Is A Tale Told By An Idiot
February 21, 2017
Hidden Warning In SEC Corporate Disclosure Defaults
February 16, 2017
Is SEC Cherry Picking Case Nit Picking Depositions?
February 13, 2017
Real Estate Flipper Sued For Investment Fraud
February 8, 2017
SEC Hit By Wave Of Petitions For Removal of Post-Bartko Collateral Bars
February 3, 2017
FINRA Asks Where Was Reasonable Supervision. But Where Was FINRA?
February 2, 2017
Promissory Notes Sales Cause FINRA Domino Effect
February 1, 2017
POSITION AVAILABLE: Broker Dealer Compliance Consultant
January 20, 2017
FULL TEXT Complaint Paul McCartney v. SONY
January 19, 2017
SEC Collateral Bars Set Aside In Dramatic Bartko Victory
January 18, 2017
Stockbroker Impersonations Prompt FINRA To Ask Who Are You
January 17, 2017
SEC Settles 3 RIA Referral Fees Cases
January 11, 2017
SEC Opts For Intercircuit Nonacquiescence
January 9, 2017
A FINRA Settlement Asks How Long Is Too Long? When Is Enough Enough?
January 3, 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
Pro Se Inmate Stuns SEC Division of Enforcement
December 19, 2016
Two Bit Explanation In $4 Million Morgan Stanley Employment Arbitration
December 13, 2016
Supreme Court Rules on USA v. Salman Insider Trading Case
December 6, 2016
Federal Judge Says What She Means In ARS Case
November 30, 2016
Former Wells Fargo Rep Shocks Firm With Her Stunning Arbitration Win
November 21, 2016
The Most Terrible Crime a Human Being Can Commit
November 18, 2016
SEC ALJ Sings Questions 67 & 68 and 25 or 6 to 4
November 15, 2016
Godzilla, Frankenstein, tradeMONSTER and Not So Obvious Error
November 10, 2016
Trade Error Haunts Stockbroker
November 8, 2016
Death Be Not Proud Or Profitable In SEC Fraud Case
November 7, 2016
Wage Garnishments Are FINRA Smoke Signals
November 1, 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
Safeguarding Retirees from Getting Cheated out of Their Social Security Payments
October 14, 2016
FINRA Bars Two Brokerage Employees For Bogus Business Expenses
October 12, 2016
Schwab Sues Customer In Stock Options Dispute
October 10, 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
Defamed PNC Employee Wins Dramatic Expungement
September 20, 2016
Former Schwab Stockbroker Obliterates Firm In Wrongful Solicitation Case
September 14, 2016
FINRA Tells Stockbroker He's Through After Firm Pays His Bills
September 12, 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
FINRA Protective Order Addresses Private Confidential Information (PCI)
August 25, 2016
Did You Hear The One About The Solicited Order that Got Marked Unsolicited?
August 19, 2016
SEC Splits Over CPA Bars For PCAOB Audit
August 15, 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
Morgan Stanley Humiliated in $10 Million Employee Loan Arbitration
August 5, 2016
Do I Need to Notify the DOL About My RIA's Reliance on the Best Interest Contract Exemption?
July 18, 2016
SEC Put Writing and Swap Case Slogs To Federal Courts
July 12, 2016
Customer Lays $10 Million Egg in Charles Schwab Arbitration
July 7, 2016
Homer Simpson, Killer Tomatoes, and SEC v. McDuff
June 27, 2016
Led Zeppelin, Brexit, And Manny the Songbird
June 24, 2016
IRS Says FINRA Schrodinger Cat Has Three Lives
June 16, 2016
SEC Crisis Response Criticized In Compelling Law Review Article
June 10, 2016
Fraudster Got 300 Months In Prison But Still Frustrates the SEC
June 8, 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
BREAKING STORY: FULL TEXT SEC Complaint and DOJ Indictment and Information in Dean Foods Insider Trading Case
May 19, 2016
BREAKING NEWS: Bank of America Hit In Lurid Gender Pay Bias Lawsuit
May 17, 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
My Baby Sent Me A Letter But My Client Didn't
April 8, 2016
Pennystock Sponsored Content Fraud Ends With SEC Bars
April 7, 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
$30 Million Claims By Former Wells Fargo Broker And Customer
March 11, 2016
SEC Stops Blue Mountain S-1 Registration
March 7, 2016
Borrowing From Customer, Tax Liens, Settling Away,Social Media, And More!
February 26, 2016
Stockbroker Fined and Suspended for Impersonating Mother, Wife, and Cousin
February 22, 2016
CD War Between Securities and Exchange Commission and Federal Bureau of Prisons
February 8, 2016
UPDATE: The Oxford Graduate Who Hadn't, Sent the Check That Didn't Arrive, For the Investment That Wasn't
January 21, 2016
Butterfield Genie Back In The Bottle But Puzzling Promissory Note Lawsuit Remains
January 13, 2016
BrokeAndBroker.com Blog Suspends Market Commentary Per Desolation Row Side Car Rules
January 7, 2016
Lord Voldemort, Merrill Lynch, Bank of America, and FINRA
December 30, 2015
UPDATE: Bank Employee Charged With Illegal Access Of 730,000 Accounts
December 24, 2015
Morgan Stanley Wins Promissory Note Arbitration Against Former Employee
December 7, 2015
Stockbroker Sanctioned For Trades For Client She Thought Was Autistic
November 4, 2015
Stockbroker Fined and Suspended Over Limited Partnerships and Notes
October 21, 2015
SEC Goes After Disbarred Lawyer For Investment Advisory Activity
October 9, 2015
Bond Trader Barred For Using Can't Lose Strategy
October 2, 2015
Another Wall Street Fall Girl Takes A FINRA Flop
September 25, 2015
Ameriprise Inexplicably Loses Promissory Note Case
September 21, 2015
Insider Trading Case Collapses Over Personal Benefit Proof
September 15, 2015
FULL TEXT Opinion in Barclays High Frequency Trading Case
August 27, 2015
Website, Social Media, Fees,and Email Fall Off Compliance Officer's Radar
July 20, 2015
Sexual Orientation Harassment And Discrimination In Stifel Promissory Note Case
July 13, 2015
Stockbroker Impersonates Customers During Phone Calls
June 11, 2015
The Stockbroker,The Compliance Officer,The Dead Customer And The Accommodation Forgery
May 13, 2015
FINRA Moves to Dismiss Spoliation Claims
May 5, 2015
The Ponzi, The Inmate, And The SEC's 43,000 Pages In The Mail
April 16, 2015
Some Men The SEC Just Can't Reach
March 25, 2015
Merrill Lynch Blindsided By Former Employee In Promissory Note Case
March 20, 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
Stockbroker Sues Non Customer Customer Over Unproven Promissory Note
March 9, 2015
Supervisor Fined, Suspended, and Barred In Ponzi Fiasco
March 4, 2015
SEC Nixes Reconsideration Of FINRA Client Files Case
February 25, 2015
Lawsuit Says FINRA Guilty of Deliberate, Retaliatory,and Malicious Conduct
February 2, 2015
Unreasonable AML Policies Cited In Trading Platform Fraud
January 29, 2015
FBI Posts Ransomware Warning
January 22, 2015
SIFI Snoopy In Constitutional Dogfight With Feds
January 15, 2015
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