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Former Merrill Lynch Rep Stuck In FINRA Arbitration Expungement Turnstile
January 3, 2024
An Unsympathetic Federal Court Sustains Unexplained FINRA Arbitration Award
December 27, 2023
Divorced Customer Sues Morgan Stanley Over Bond Purchases
October 25, 2023
Federal Court Denies Kim TRO and Injunction Against FINRA Enforcement Action
October 10, 2023
JP Morgan Securities Ordered to Pay $1.4 Million in Damages in Unexplained Arbitration
September 21, 2023
SEC Chief Accountant Lays a Cobblestone on the Road to Hell Paved with Good Intentions
July 28, 2023
FINRA Has Some 'Splaining To Do As Arbitrators Deny Gender Discrimination Claims
July 24, 2023
Federal Court Says FINRA Arbitration Not So Lucid in the Sky with Diamonds
July 19, 2023
SEC Sends FINRA Expungement Back to the Future
June 12, 2023
Wells Fargo Refuses Wife's Demand To Liquidate Joint Account and Send Her 50% of Proceeds
June 9, 2023
Branch Manager and FINRA Fail to See Red Flags of Unsuitability Involving Senior Customers
June 6, 2023
SEC Orders FINRA to Raise Its Arbitration Forum Gate For Expungements
May 30, 2023
SEC Says No Second Bite of FINRA Expungement Apple
May 9, 2023
FINRA Arbitrators Checkmate SunTrust With Punitive Damages for Misuse of Rep's Name and Picture
April 24, 2023
2Cir Remands to EDNY Disparate Sentence in Boiler Room Pumping
April 17, 2023
Pro Se Registered Respondent A No Show At Arbitration Involving Cambridge Capital Group
April 10, 2023
GUEST BLOG: [In]Securities: The Influencers: The SEC Grounds Stars' TRX by Aegis Frumento Esq
March 31, 2023
SEC Tells FINRA to Raise the Gate For Ineligible Expungement Case
March 23, 2023
Blackbook Capital Versus FINRA: A Decade of Battle
March 6, 2023
Federal Court Deems FINRA Absolutely Immune in Expungement Lawsuit
February 28, 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
FINRA NAC Fines and Suspends Rep For Paying Commissions to an Unregistered Person
January 10, 2023
Imagine That a $10 Million FINRA Arbitration Claim Settles for $100,000
January 6, 2023
Federal Court Says Customer Had Duty To Notify Schwab of Malfunctioning Order System
January 4, 2023
TD Ameritrade Escapes $1.7 In Damages But An Advisor Gets Slammed by FINRA Arbitrators
December 29, 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
Intellivest Securities Hunts Down Raiders Who Allegedly Gutted The Brokerage Firm
December 12, 2022
Magical Mystery Tour Of A FINRA Arbitration Expungement Award
November 22, 2022
To Err Is Human. To Forgive Is A FINRA Fine.
November 14, 2022
The Problem for A Merrill Lynch Registered Rep Seeking the Expungement of a Settled FINRA Arbitration
October 25, 2022
Beating a Dead Statutorily Disqualified Horse on Wall Street
October 17, 2022
SEC Hides Disqualification Waiver Order In High Profile Recordkeeping Release
September 28, 2022
Whistleblower Angered by SEC's Split of $27 Million Award
September 27, 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
Unsettling Settlement Puts FINRA's Board of Governors in Troubling Light
August 29, 2022
FINRA Arbitration Panel Finds TD Ameritrade Grossly Negligent With Form U5
August 15, 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
Former Wells Fargo Advisors Senior Vice President Moves Federal Court to Undo 2017 FINRA Settlement
July 27, 2022
Fidelity Brokerage Services Has Two Trains Runnin' in FINRA Arbitration and Federal Court
July 25, 2022
Boustead Securities Survives Motion to Dismiss in Success Fee Dispute
July 13, 2022
Charles Schwab SIP Robo-Adviser Cited In FINRA Arbitration
July 5, 2022
FINRA Report Refutes Court Finding of Fundamental Unfairness in Leggett Arbitration (With Updated Conclusion)
June 30, 2022
GUEST BLOG [In]Securities: Man in the Mirror: The SEC Looks into the Mirror Protocol by Aegis Frumento Esq
June 17, 2022
The Nightmare of a Dream Job on Wall Street
June 7, 2022
Edward Jones Sued for $15 Million Over Book of Business
May 17, 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
The 90 Year Old Customer, The Trust Account, Merrill Lynch, the Asset Sale, and the Margin Trade
April 7, 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
Stockbroker Wins Expungement of Two Edward Jones Customer Complaints
March 24, 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
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
A Bankruptcy, a Voluntary Dismissal, and a Death
January 20, 2022
The Collision of the Inept With The Incompetent -- A Wall Street Compliance and Regulatory Tale
December 22, 2021
Appellate Court Affirms $11.5 Million in Damages and Costs in Employment Defamation Case
November 23, 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
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
After Morgan Stanley Raised Serious Questions in Failed TRO Against Former Employee, The Parties Stipulate to Preliminary Injunction
October 19, 2021
Federal Circuit Court Sustains Registered Rep's Conviction and Sentence of 90 Months
October 18, 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
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 Arbitrator Pens Perfect Rationale in UBS Expungement Award
August 23, 2021
The Unsecured Convertible Note, The FINRA CMA, The Pro Se Plaintiff, The Federal Complaint, and the Legal Clinic
August 17, 2021
Morgan Stanley Raises Serious Questions in Failed TRO Against Former Employee
August 11, 2021
A Free Credit Card Prompts a Costly Expungement
August 5, 2021
FINRA Arbitrators Directly Nullify Indirect Non Solicitation Agreement
July 13, 2021
Neovest Dissent Pushed Into The SEC Shadows
June 30, 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
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
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
Federal Court Says Second Amended Complaint Looks Too Much Like First Amended Complaint
May 11, 2021
Former Raymond James Rep Wins One and Loses One in Employment Disputes
May 6, 2021
FINRA Fear and Wall Street Trembling and The Financial Sickness Unto Death
April 29, 2021
JP Morgan Customer Seems To Have Accused Stockbroker of Not Exercising Unauthorized Discretion
April 7, 2021
The Expungement Was Not Not Warranted But Still Denied
April 5, 2021
When An Undisclosed Settlement Gets Disclosed to FINRA
March 29, 2021
The FINRA Investor Education Foundation Is A Lonely Hunter
March 24, 2021
Schwab Sued Over Allegedly Malfunctioning Order System
March 23, 2021
A Court Seems Unimpressed by Financial Exploitation of an Elderly Widow
March 10, 2021
The Saga of FINRA Versus Kimberly Springsteen-Abbott
March 1, 2021
SEC Cites League of Extraordinary Advisers In Denying Waiver of Bar
February 17, 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
FINRA Fines and Suspends Rep for Taking or Not Giving A Crap
January 19, 2021
Did You Hear The One About The Customer Who Sued Because He Didn't Know Insider Trading Was Illegal?
January 5, 2021
Moving the Goal Line In a FINRA Expungement Arbitration
December 30, 2020
GUEST BLOG [In]Securities: Ringing Out for Christmas Day By Aegis Frumento Esq
December 24, 2020
Outrageous Romance Scam Earns Even More Outrageous Sentence
December 8, 2020
Schemes From a California Restaurant
December 7, 2020
Customer's Annuities Lawsuit Backfires During FINRA Arbitration
December 4, 2020
The LPL Stockbroker, The Customer Lawsuit, The Expungement Arbitration, and The SLAPP Lawsuit
December 1, 2020
Management of Native American Tribe's Investment Portfolio Prompts FINRA Bar
November 24, 2020
Two SEC Commissioners Dissent From the Shadows
November 16, 2020
Federal Court Dismisses Challenge to Six Year Old FINRA AWC
November 11, 2020
California Court of Appeal Holds Its Ground After Rehearing Tilkey v. Allstate
October 28, 2020
JP Morgan Securities Whiffs In FINRA Arbitration Against Raymond James and Three Former Employees
October 26, 2020
FINRA Fines Small Firm And its Owner For Misclassification of Expenses
October 21, 2020
Rep Sentenced to 90 Months in Federal Prison On 21 Counts
October 19, 2020
Ballad of a FINRA Man
October 15, 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
Love In the Time of Covid Expires for SEC
October 2, 2020
Edward Jones Wins TRO Against Former Employee in Solicitation and Trade Secrets Case
August 24, 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
UPDATE: FINRA Says Brokerage Fee An Undisclosed Commission
August 12, 2020
The Futility of Futility On Display in FINRA Expungement Dispute
July 17, 2020
Costco Uses Supreme Court's CFPB Ruling to Force Patriotic Americans to Eat Leftist Round Cakes
June 30, 2020
[In]Securities Guest Blog: Manicula's Gopher by Aegis Frumento Esq
June 25, 2020
Stockbroker Expungement Grapples With Death and Taxes in Time of Plague
June 5, 2020
Troubling Disconnect and Lack of Appropriate Explanation Found in Scapegoat Defamatory Form U5 FINRA Arbitration
June 1, 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
UPDATE: Federal Court Orders Rare TRO In Favor Of Terminated Rep Against Investacorp
May 15, 2020
[In]Securities Guest Blog: Marconi Plays the Mamba by Aegis Frumento Esq
May 7, 2020
Federal Court Orders Rare TRO In Favor of Terminated Rep Against Investacorp
May 5, 2020
[In]Securities Guest Blog: Get What You Need by Aegis Frumento Esq
April 30, 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
SEC Announces Two Whistleblower Awards But One Is A Redacted Puzzle
April 21, 2020
IRA Dispute Offers a Bleak House for Fidelity Stockbroker
April 20, 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
Registered Rep Goes Down for the Count -- All 21 of Them
April 1, 2020
FINRA Arbitrators Deny Success Fee Damages to Underwriter
March 2, 2020
Hot Shoe Burnin' Down Wall Street In FINRA Morgan Stanley Panama Arbitration
February 27, 2020
C'mon And Take A Free Ride. FINRA Arbitration Considers Failed Customer Payment
February 17, 2020
The Saga of FINRA Versus Kimberly Springsteen-Abbott
February 10, 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
FINRA Arbitrators Cite Untimely RICO Claims By Former Merrill Lynch Executive
January 13, 2020
Cause something is happening and you don't know what it is. Do you, FINRA?
January 8, 2020
UPDATE: Court Confirms UBS Promissory Notes Arbitration Citing Delays And Doctor's Note
January 6, 2020
Funky Chicken Alters The Course of Wall Street Insider Trading
December 17, 2019
Federal Court Transmogrifies FINRA Into State Criminal Prosecutor
December 13, 2019
[In]Securities Guest Blog: Lawyers, Guns and Money by Aegis Frumento Esq
December 12, 2019
Customer Carries 31 Year Old Grudge Into Broker Expungement Case
December 11, 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
FINRA Arbitrator Saves Innocent Stockbroker Caught In the Middle By Settled Customer Complaint
December 2, 2019
2 Pleas, 2 Federal Courts,1 Horrific Ponzi Scheme, and Lots of Lousy Wall Street Regulation
November 6, 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
Does Your Brokerage Contract Bite?
October 9, 2019
Getting the Girl to Do It On Wall Street
October 4, 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
FINRA Arbitrators Angered By Raymond James Tactics
September 25, 2019
Citigroup's Cryptic Cryptocurrency Case
September 20, 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
Oops I Did It Again Is No Defense In Second FINRA AWC
September 9, 2019
[In]Securities GUEST BLOG: Walk Like a Man by Aegis Frumento, Esq
September 5, 2019
Rocky Enters Texas Ring Over Fee-For-Advice Dispute
September 3, 2019
Morgan Stanley Marks Up Stockbroker's Record Over Annuity Complaint by Customer's Nephew
August 29, 2019
FINRA Bars Stockbroker After RBC Makes $1 Million Pricing Error
August 28, 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
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
Anonymous Tip to FINRA's Securities Helpline for Seniors Gets Stockbroker Barred
July 31, 2019
Trading After Death
July 24, 2019
SEC Task Force to Host Roundtable On Elder Fraud (Coffee and Danish Will Be Served, Maybe)
July 23, 2019
Customer's Wife Rescues Former Edward Jones Broker In Expungement Case
July 10, 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
Pro Se Public Customer and Pro Se Stockbroker Did It Their Way In FINRA Arbitration
June 21, 2019
UBS Stockbroker Seeks Expungement of ARS Claim That Firm Says Wasn't Made
June 14, 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 Tell Divorced Stockbroker to Try A Little Bit Harder
June 7, 2019
SEC Acts In the Public Interest And Renders $3 Million Whistleblower Award
June 4, 2019
Wells Fargo Found Guilty of Defaming Stockbroker for Storing Customer Property
June 3, 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
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
Former Morgan Stanley Branch Manager Wins Expungement of Failure to Supervise Claims
May 15, 2019
FINRA Arbitrators Slam JP Morgan Over Defamatory Termination
May 13, 2019
GUEST BLOG: The Game of Coins by Aegis Frumento Esq
May 9, 2019
Bottle of White, Bottle of Red, Perhaps An Assisted Living Bond Instead at FINRA Arbitration
May 3, 2019
All Voya FINRA AWCs are Not Relevant Except When They Are
April 24, 2019
Was Felon A Frequent Flyer or Flight Risk?
April 22, 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
FINRA Notice To Members 19-10 Should Have Said What It Meant
April 8, 2019
FINRA Arbitration Asks If Conservative Strategy Was Too Conservative
April 2, 2019
UBS Wins Promissory Notes Arbitration After Four Delays And A Doctor's Note
March 29, 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
Good Intentions Pave Merrill Lynch Stockbroker's Retirement Highway to Hell
March 15, 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 Regulatory Settlement About Vulnerable Individual Raises Troubling Questions
February 26, 2019
Outside Business Activities and Away Account Cost Stockbroker $7,500 and Four Months on the Bench
February 20, 2019
Stockbroker Infallibility Too High A Bar Says FINRA Arbitrator
February 15, 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
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
The Preemptive EFL Gambit Starts Anew On 2019 FINRA Arbitration Chessboard
January 8, 2019
Scottsdale Sues Rep For Contacting FINRA But FINRA Bars Him For Not Testifying Against Firm
December 26, 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
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
Stockbroker Wins Expungements of Decade Old Customer Complaints
November 20, 2018
Stockbroker Victimized By Mother In Law Complaint About Stolen Funds
November 16, 2018
GUEST BLOG: Pragmatic Federalism In a Blockchained World by Aegis Frumento Esq
November 15, 2018
Legend-ary FINRA Public Customer Arbitration
November 14, 2018
Customer Withdrawals and Vacations At Heart of Stockbroker Expungement
November 6, 2018
Gregor Samsa Awakes As A FINRA Unnamed Party
November 2, 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
Stuck Inside Of Mobile with the Holiday Inn Blues Again
October 16, 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
Merrill Lynch Rep Wins Expungement of Decade Old Customer Complaint
October 2, 2018
LPL Stockbroker Wins FINRA Expungement Despite Six Figure Customer Settlement
October 1, 2018
Double Standard? FINRA Fines and Suspends Wells Fargo Employee For 382 Unauthorized Trades
September 28, 2018
GUEST BLOG: All You Need Is A TCR and a Dream by Aegis Frumento Esq
September 27, 2018
Stockbroker Pays Undisclosed Customer Settlement But It All Explodes Anyway
September 26, 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
GUEST BLOG: How the SEC Would Run (and Ruin) Your Firm by Aegis Frumento Esq
September 13, 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
Justify Ownership in Deal Genuine For $5.7 Million Abandoned Funds
August 31, 2018
Ya Hear The One About The Stockbroker Who Listened to Idiots and Never Got His Record Expunged?
August 27, 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
GUEST BLOG: That Long Strange Trip from SunTrust to Wells Fargo by Aegis Frumento Esq
August 2, 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
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
UPDATE: SEC Vacates PCAOB Action in Laccetti and Cancels Sanctions
July 18, 2018
Crowdfunding Portal StartEngine Loses Customer Arbitration
July 16, 2018
5% Solution In FINRA Expungement Arbitration
July 13, 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
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
Variable Annuities And Wall Street's Jurassic World
June 25, 2018
Is FINRA Sleepwalking Through Member Firm Examinations?
June 20, 2018
FINRA Suspends Stockbroker For Reimbursing Customer Options Losses
June 11, 2018
The Imposter, The Signature, The Unregistered Associate, and a FINRA Bar
June 6, 2018
GrandFund in a FINRA Grand Funk
June 5, 2018
Feuding Stockbrokers Set Stage for Expungement of Cookie Cutter Customer Complaints
June 1, 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
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
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
Money For Nothing Leaves Stockbroker in Dire Straits With FINRA
May 9, 2018
FINRA Orders Partial Restitution in Activity Letter Settlement
May 8, 2018
Pro Se Employee Eviscerated in FINRA Employment Expungement Arbitration
May 3, 2018
Solicited System Snafu Stiffs Settling Stifel Stockbroker
May 2, 2018
FINRA Arbitrators Say Wells Fargo Bank Breached Duty of Customer Care
April 27, 2018
Former Ameriprise Rep Wins Split Decision In FINRA Arbitration
April 25, 2018
FINRA Arbitrators Dissolve RIA / BD Lacking Operating Agreement
April 24, 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
Oppenheimer and Euro Pacific Duke It Out In $35 Million Unfair Competition Arbitration
April 11, 2018
Stormy Daniels Issue Hits FINRA Arbitration Remand
April 4, 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
Body and Estate and Soul and a Counterfeiter and a Murderer and Merrill Lynch
March 28, 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
BREAKING NEWS: Supreme Court Says State Courts May Hear Securities Class Actions
March 20, 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
UPDATE: Stockbroker Barred For Abusive Conduct Deemed Threat to Public and Industry
March 15, 2018
No Winners In FINRA Customer Arbitration
March 14, 2018
Federal Court Sustains FINRA / SEC Over CEO Reckless Disregard of Net Cap Rule
March 12, 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
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
Gonna Take My Arbitration Problem to the United Nations
February 13, 2018
Rankles Raised In FINRA Expungement
February 8, 2018
GUEST BLOG: The Department of Justice's Coming Out Party by Darrell Whitman
February 6, 2018
Ameriprise and Former Rep Battle It Out Over EFL and Defamation
February 1, 2018
Defined Benefit Pension Plan Dispute Taxes Stockbrokers and Brokerage Firms
January 30, 2018
Stockbroker Expunges 7 Year Old UBS Customer Suitability Complaint
January 24, 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 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
FINRA's $10,000 Expungement Price-Tag To Clear A Victim's Name
January 5, 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
Arbitrators OK Raymond James Liquidation of JTWROS Account for Broker Husband's Loan
December 21, 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
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
FINRA Suitability Settlement Involves Five Elderly Retired Morgan Stanley Customers
November 27, 2017
DOL Whistleblower Darrell Whitman Files Emergency Request with US Office of Special Counsel
November 24, 2017
FINRA Plays Hide And Seek With Six Years Of Unauthorized Sales And Withdrawals
November 22, 2017
Spoofing Email Sends Payment To Minneapolis, Shanghai, and Bremen
November 21, 2017
Clever Stipulation In FINRA Expungement Arbitration
November 17, 2017
Voluntary Resignation, Diversion of Customer Funds, and FINRA Bar
November 16, 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
Was That Customer Email a Discussion, Grievance, or Complaint?
November 2, 2017
$3 Million Awarded In UBS FINRA Employment Dispute
October 30, 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
FINRA Settlement Muddies Wall Street's Regulatory Waters
October 13, 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
How Long Has This Been Going On? A Case of Delayed FINRA Regulation
September 26, 2017
Wachovia Customer Sues Wells Fargo Over FundSource Losses
September 20, 2017
Harbour and Geneos Customers Win FINRA Arbitration Against Stockbroker
September 19, 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
GUEST BLOG: A FAILURE OF ACCOUNTABILITY: Wells Fargo Fraud Goes Unanswered As Washington Dithers by Darrell Whitman
September 5, 2017
UPDATE: Merrill Lynch FINOP Cited By SEC for Unprecedented Violations
September 1, 2017
PNC Loses Wrongful Termination FINRA Arbitration
September 1, 2017
FINRA Arbitrators Rewrite Wells Fargo Termination Language
August 31, 2017
What's the Frequency FINRA?
August 25, 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
Darrell Whitman Petitions Attorney General Sessions About Wells Fargo Investigation
August 7, 2017
Opening Pandora's Box of Puts
August 4, 2017
Chia Hair Plugs and 100% Principal Protected Lehman Brothers Notes
August 3, 2017
FINRA Gets One Last Slap in Marine Veteran's Face
July 31, 2017
UBS v. Fiore: Let The Games Begin
July 27, 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
A FINRA JP Morgan Arbitration,Jamie Dimon's Embarrassment and Bill Singer's Apoplexy
July 21, 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: FINRA Rides The Thunder In Vietnam Movie Case
July 7, 2017
FINRA Rides The Thunder In Vietnam Movie Case
July 6, 2017
Rep Wins Expungement of 11 Year Old Complaint At Defunct Brokerage Firm
June 29, 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 Rep Over Savings Goals
June 7, 2017
Tell Me Why: Unanswered Questions In FINRA Expungement
May 17, 2017
Customer Loses $6.6 Million VirnetX Case Against JP Morgan
May 11, 2017
Edward Jones Loses Trade Secrets Arbitration
May 10, 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
ALJ Weighs Dilemma of Sanctions Versus Punishment For Transfer Agent
May 3, 2017
PNC Employee Wins $1.8 Million Wrongful Termination Award
May 2, 2017
Stockbroker Expunges Complaint About Profitable Investment
May 1, 2017
FINRA's Three Handed Monster of a Settlement
April 25, 2017
FINRA Arbitrators Find Everyone At Fault In Customer Case
April 14, 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
Stockbroker Barred For Abusive Conduct Deemed Threat to Public and Industry
March 30, 2017
Expunging Customer Dispute Information Under FINRA Rule 2080
March 29, 2017
Bill Singer Analyzes FINRA Expungement Rules 2080 and 2081
March 27, 2017
Warp Speed Dismissal in Lightspeed Trading Arbitration
March 24, 2017
Chile Client Cases Chill FINRA
March 16, 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, Wells Fargo, and the Victimized 93 Year Old Investor
February 28, 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
Merrill Lynch FINOP Cited By SEC for Unprecedented Violations
February 15, 2017
The Will, Disabled Aunt, Stepkids, Executor Nieces, And Stockbroker
February 14, 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 Arbitration Saga Of the Unnamed and Unheard Lands in Federal Court
January 27, 2017
Stockbrokers, Spouses, Marriage, and Away Accounts
January 26, 2017
SEC Collateral Bars Set Aside In Dramatic Bartko Victory
January 18, 2017
SEC Opts For Intercircuit Nonacquiescence
January 9, 2017
5 Years Later: The Politics of Wall Street Regulation Is Unabated
December 28, 2016
FINRA Panel Sides With Zions Direct In Employee Bidding Policy Wrongful Termination Case
December 22, 2016
SEC Charges Adviser Stockbroker With Wheel Turnin' Round And Round Fraud
December 16, 2016
Standby Letter of Credit Walks Away From Duped Investors
December 15, 2016
Edward Jones Discriminated Against Female Employee
December 14, 2016
Supreme Court Rules on USA v. Salman Insider Trading Case
December 6, 2016
The Some and Almost All Of A FINRA Unauthorized Discretion Settlement
December 6, 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
Whatcha See is Whatcha Get In FINRA Settlement
November 16, 2016
Merrill Lynch Defamation Ruins Stockbroker Career
November 9, 2016
Trade Error Haunts Stockbroker
November 8, 2016
FINRA Sanctions Lack of Proactive Compliance
November 3, 2016
Dementia At Issue In Wells Fargo Arbitration
November 2, 2016
Wanton Disregard Cited In FINRA Raiding Arbitration
October 27, 2016
Majestic FINRA Customer Arbitration Decision Grapples With Non Lawyer Role
October 21, 2016
FINRA Cites Unfair ACAT Charge And Slow Transmittal of Funds
October 19, 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
Wall Street Regulation Understood Backwards
October 7, 2016
NY Life Rep Crosses Arbitration Rubicon With Expungement Case
September 28, 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
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
Fired Nationwide Rep Wins FINRA Expungement
September 7, 2016
California Court of Appeal Says FINRA Expungement Hearing Unfair
September 1, 2016
Feds Charge Alt-Fuel, All Electric Company Simply Old Fashioned Hot Air Stock Scam
August 29, 2016
FINRA Arbitration Soccer Match Ends With Penalty Kicks
August 24, 2016
Did You Hear The One About The Solicited Order that Got Marked Unsolicited?
August 19, 2016
SEC Fines Company for Financial Disincentive Provision For Whistleblowers
August 18, 2016
Janus Distributors Slammed In Employment Termination Arbitration
August 16, 2016
SEC Splits Over CPA Bars For PCAOB Audit
August 15, 2016
BREAKING NEWS: 2 Circuit Denies Criminal Expungement
August 11, 2016
Morgan Stanley Humiliated in $10 Million Employee Loan Arbitration
August 5, 2016
Brokerage Firm Demands $2.6 Million Damages From Former Employees
July 28, 2016
Feds Unfriend Facebook Fraud Fleecers
July 22, 2016
Wrap It Up! SEC Settles Wrap Fee Case
July 21, 2016
Ex-Wife, Deceased Father, Executrix Daughter, Retirement Account, and Annuity
July 19, 2016
Secret Customer Settlement Gets Stockbroker Fined and Suspended
July 13, 2016
Get On Board With New FINRA Rule 2273 Before You On-Board Registered Reps
July 1, 2016
The Husband's IRA, The Ex-Wife, The Forgeries, The Withdrawals, And The Lawsuit
June 23, 2016
FINRA Says Customer Oral Authorization Not Worth The Paper It's Not Written On
June 21, 2016
Fraudster Got 300 Months In Prison But Still Frustrates the SEC
June 8, 2016
UBS Reversed $5 Million Unauthorized Order
June 1, 2016
Wordless Songs and the Sounds of Crickets on Wall Street
May 27, 2016
Love And Marriage On Wall Street
May 25, 2016
UBS and Wells Fargo Wage Thumb Drive Warfare
May 20, 2016
Columbia Business School Professor Gets Prison For investor Fraud
May 18, 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
E*Trade Employee Wins Form U5 Expungement
April 14, 2016
Beal Street Blues After Employee Wins Unpaid Bonuses
March 17, 2016
Hiding In Plain Site: Undisclosed Criminal Past Was Undetected
March 10, 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
You Hear The One About The Bleeding Guy in the Hospital Who Shot Himself?
February 25, 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
Morgan Stanley Hit With Punitive Damages In Customers Arbitration
February 4, 2016
Bill Singer Slams FINRA Ameriprise Arbitration Decision For Lack of Content and Context
January 28, 2016
FINRA Fines And Suspends Rep For Service as Director
January 22, 2016
Rude And Divisive Barclays Employee Loses Note Case
January 8, 2016
Did Registered Rep Voluntarily Quit Or Was She Fired? Arbitrator Says Neither.
January 4, 2016
UPDATE: Bank Employee Charged With Illegal Access Of 730,000 Accounts
December 24, 2015
Merrill Lynch Stockbroker Beats Wells Fargo In Employment Dispute
December 23, 2015
SEC Reversed ALJ But Federal Court Reverses SEC
December 21, 2015
SEC Says Senior Citizen Fraudster Preyed On Elderly Victims
December 17, 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
That Customer Complaint May Not Be A FINRA Reportable Event
December 4, 2015
The SEC Fears The Email Privacy Act
December 3, 2015
Former Allianz Rep Sues To Clear Her Name In War Over Expenses
November 23, 2015
Mutual Funds and Annuity Disputes Fuel Customers FINRA Arbitration
November 20, 2015
Short Trader's $106,000 GoFundMe Plea After Getting Clobbered by KBIO
November 19, 2015
Virtus Gets F-Squared In SEC Settlement
November 19, 2015
CASE IN POINT Video Interview with host BILL SINGER and guest Brittany Weiner, Esq.
November 17, 2015
Pennystock Kickback Scheme Gets In Last Kicks at SEC
November 13, 2015
Compliance Advisor Fined and Suspended For Falsifying Data
November 2, 2015
Brokerage Customer Sues Because X Minus X Equals Zero
October 26, 2015
Hit And Run Wall Street Regulation Immunized In Goble and North American Appeal
October 23, 2015
RBC In Breathless Arbitration Over Zombies And Beauty Parlor Fumes
October 22, 2015
CASE IN POINT with BILL SINGER with guest Corporate Finance Lawyer Lawrence Nusbaum
October 20, 2015
Conspirators Indicted In Online Malware Attacks Against Financial Accounts
October 19, 2015
CASE IN POINT with Bill Singer Premieres Today. EMPLOYMENT TUESDAY at BrokeAndBroker.com
October 13, 2015
SEC Goes After Disbarred Lawyer For Investment Advisory Activity
October 9, 2015
Blackstone Rocked By SEC Over Disparate Legal Fees
October 8, 2015
Bank Employee Charged With Illegal Access of 730,000 Accounts
October 7, 2015
UPDATE: Federal Appeals Court Reverses Goldman Sachs Arbitration
October 2, 2015
Bond Trader Barred For Using Can't Lose Strategy
October 2, 2015
Walking Through the FINRA Expungement Process
September 24, 2015
Ameriprise Inexplicably Loses Promissory Note Case
September 21, 2015
HSBC Stares Into The Eye of the Tiger And Blinks
September 18, 2015
Stockbroker Exonerated After Nephews and Niece Accuse Her of UTMA Fraud
September 11, 2015
FULL TEXT DOJ Individual Accountability Memo ONLINE at BrokeAndBroker.com
September 10, 2015
Undercover FBI Pennystock Sting
September 9, 2015
Stockbroker Wins Expungement Over Annuities
September 4, 2015
Unregistered Activity Proves Katalyst For FINRA Settlement
August 31, 2015
FULL TEXT Opinion in Barclays High Frequency Trading Case
August 27, 2015
Stockbroker Wins Customer Expungement Arbitration
August 21, 2015
FINRA Jams Ditto Copying of Trades
August 17, 2015
Morgan Stanley Hit With Punitive Damages In Customer Arbitration
August 5, 2015
Website, Social Media, Fees,and Email Fall Off Compliance Officer's Radar
July 20, 2015
Time Has Come Today In Stockbroker Expungement
June 24, 2015
Nasty FINRA Lawsuit Gets Nastier
June 10, 2015
Computer Glitch Overpays Stockbroker's Commissions
June 3, 2015
Hundreds of Thousands Defrauded In $50 Million Text Messaging Scam
May 29, 2015
Stockbroker Fined and Suspended For Sending Customer Data To New Firm
May 18, 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
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
The Ponzi, The Inmate, And The SEC's 43,000 Pages In The Mail
April 16, 2015
New DOJ Asset Seizure Memorandum
April 1, 2015
BREAKING NEWS: Supreme Court Vacates And Remands Young v. UPS
March 25, 2015
Merrill Lynch Blindsided By Former Employee In Promissory Note Case
March 20, 2015
Stockbroker Sues Non Customer Customer Over Unproven Promissory Note
March 9, 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
First SEC Whistleblower Bounty Awarded To Corporate Officer
March 3, 2015
Broker Wins FINRA Arbitration Expungement
February 20, 2015
Stockbroker Does Not Get Buy With A Little Help From His Friend
February 13, 2015
UBS Stockbroker Expungement in Lehman Bond Case
February 6, 2015
The Butcher, Baker, Candlestick Maker and Wall Street CPA
January 22, 2015
Supreme Court Reverses TILA Rescission Denial In Countrywide
January 13, 2015
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17a-5
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Cold Spring Advisory Group
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Lehman
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Oppenheimer
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MSSB
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40 Act
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Rule 2430
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Google
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