An irreverent Wall Street Blog
by Bill Singer
by Bill Singer
Topic List for Statutory Disqualification (72 results)
- FINRA Pulls Its Punches In Felony Non-Disclosure Settlement
May 22, 2023 - Beating a Dead Statutorily Disqualified Horse on Wall Street
October 17, 2022 - FINRA and SEC Continue Dakota / Zipper Ping Pong Game of Dubious Regulation
March 18, 2022 - Three-Handed Dilemma Grabs NYAG, NYPPEX, Laurence Allen, and FINRA
March 1, 2022 - How Many FINRA Enforcement Lawyers Does It Take To Prosecute a Default Case?
January 10, 2022 - FINRA NAC Affirms OHO But Eliminates Heightened Supervision
October 4, 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 - 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 - Untimely Disclosure of Tax Liens Upends Chief Compliance Officer Via Statutory Disqualification
January 6, 2021 - Last Dance for FINRA's Zipper? Nope, SEC Says Let's Do It Again
December 28, 2020 - FINRA Settles Untimely Disclosure of Four Felony Charges Without Willfulness Finding
July 1, 2020 - Gregory Acosta Hands FINRA an Earth Shattering, Precedent Setting, Historic, Stunning Defeat
June 24, 2020 - Bill Singer's Annual Warning: Disclose Your Tax Liens
March 4, 2020 - FINRA Settles Case Involving What Looks Like A Felony But Isn't
January 17, 2020 - FINRA Needs To Better Coordinate Its Admonition of Statutory Disqualification
January 3, 2020 - The Illogical Logic of FINRA's Willful Non-Disclosure of Tax Liens
October 11, 2019 - Perplexing FINRA AWC About the Likely Statutorily Disqualified Rep
September 13, 2019 - Last Dance? SEC Hopes It Has Finally Zipped Zipper Appeals
October 3, 2018 - UPDATE: 11Cir Sustains SEC and FINRA On Willful Failure to Disclose Tax Liens
September 21, 2018 - Date of Birth on Driver License Crashes Stockbroker Career
August 28, 2018 - Zipper Plays Sisyphus to FINRA's Zeus
June 21, 2018 - Wall Street Career Cashed Out Over Identity Theft and Gift Cards
June 7, 2018 - The Disqualified Stalking Felon Stockbroker, The Texting Stockbroker, The Missouri Waltz, and FINRA
May 17, 2018 - Drinking, Driving, Felonies, and a Wall Street Regulatory Head-On Collision
April 12, 2018 - Crash and Burn Upon Entry Into Wall Street
April 6, 2018 - SEC Zaps Zipper's Second Stay Request
February 7, 2018 - FINRA Dispute Hangs Out As SEC Unzips Zipper Appeal
January 16, 2018 - UPDATE: SEC Says No Mulligans For FINRA Settlements
November 29, 2017 - SEC Nixes Stay of Statutory Disqualification
November 8, 2017 - SEC Says No Mulligans For FINRA Settlements
October 3, 2017 - SEC Sustains FINRA On Willful Failure to Disclose Tax Liens
October 2, 2017 - Child Endangerment Defendant Barred By FINRA
September 28, 2017 - FINRA Felony Jigsaw Puzzle
August 10, 2017 - UPDATE: SEC Denies Wanger Re-Entry Into Industry
July 12, 2017 - FINRA Disciplinary Settlement Raises Relevancy of Any
July 10, 2017 - FINRA's Willy Nilly Tax Lien Settlements
May 25, 2017 - Misconduct Bricks In FINRA Wall of Statutory Disqualification
April 26, 2017 - Where There's Willfulness There's No Way At FINRA
March 28, 2017 - Inconsistent FINRA Findings of Willful Nondisclosure Persist
March 13, 2017 - Tax Liens and Wall Street Disqualification
January 12, 2017 - FINRA Settles Non Disclosure Of Tax Liens Without Finding Willfulness
November 11, 2016 - FINRA Sanctions Lack of Proactive Compliance
November 3, 2016 - The Chief Compliance Officer, The Taxman, And FINRA
October 24, 2016 - BrokerCheck Dispute Says FINRA Wrongly Says SEC Bar is Permanent
June 9, 2016 - Borrowing From Customer, Tax Liens, Settling Away,Social Media, And More!
February 26, 2016 - Brokerage Firm Censured and Fined for Undetected Statutorily Disqualified Rep
February 3, 2016 - Stockbroker Disqualified For Non Disclose Of Grand Jury Investigation
July 31, 2015 - Bond Parking For Net Capital Benefit Disqualifies Brokerage Executive
July 30, 2015 - FINRA Wrestles With Serious,Aggravating, And Egregious Filing Failures For Forms U4 and BD
May 14, 2015 - The Butcher, Baker, Candlestick Maker and Wall Street CPA
January 22, 2015 - Lien-ing Tower Prompts FINRA Fine And Suspension
January 9, 2015 - Troubled History Of Liens And Bankruptcies Disqualifies Stockbroker
May 2, 2014 - Check Kiting SunTrust Broker Compromises His Way Out Of The Biz
October 24, 2013 - Willful Nondisclosure Of Judgments Disqualifies MetLife Stockbroker
October 20, 2013 - Parked Registrations And Lack Of Supervision Derail Firm And President
August 16, 2013 - SEC Approves Return To Wall Street Of Statutorily Disqualified Broker
November 26, 2012 - Stockbroker Disqualified Amid Borrowing, Liens And Judgments
November 14, 2012 - Stockbroker Sidesteps Felony But Trips Over Misdemeanor
October 9, 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 - FINRA Says Stockbroker Willfully Failed To Disclose Bankruptcy
August 17, 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 - Bankrupt Stockbroker Winds Up Statutorily Disqualified
July 18, 2012 - Stockbroker's DUI Puts Career In The FINRA Ditch
July 17, 2012 - A Stockbroker's Undisclosed Arrest Sets Off A Regulatory Cavalcade Of Disaster
June 27, 2012 - A Persistent DWI Offender's Brokerage Career Is On The Skids
April 27, 2012 - Stockbroker Convicted Of Motor Vehicle Felony Poses Reporting Problems For Brokerage Employer
April 13, 2012 - Statutory Disqualification for Undisclosed Tax Liens Sustained by FINRA, SEC, and Federal Court
February 21, 2012 - Stockbroker's Better Buy At Best Buy Leads to Industry Bar And Disqualification
December 16, 2011 - Unpaid $10,000 Casino Marker Leads to Stockbroker's Suspension and Disqualification
November 3, 2011 - FINRA Arbitration Claimant Stipulates to Defaming Former Employee
March 4, 2011