Legal and Compiance Issues

A place to discuss the securities industry's legal landscape.
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Full Analysis by Bill Singer of Federal Court's rejection of Citigroup and SEC settlement
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Customer complains about conservative investments. Arbitrators give Wells Fargo Broker expungement
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One went to an interview with the national football media
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Broker's Casino Marker Gets Him Suspended and Disqualified
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Hermes Cowhide Cabag Weekender Bag
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FINRA Bars Broker For Fraud In Paying Daughter's College Tuition
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Former Lehman Employee Notches First Win Against Promissory Note Collection in Arbitration
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FINRA arbitrators find stockbroker was defamed
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Federal Court Rules FINRA Can't Collect Fines -- Landmark Case from Bill Singer
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Possible unfair treatment at work
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Non Solicitation clause - joining client company
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Need advice bad....
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I NEED A NON PRODUCING REP SPECIALIST??????
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FINRA Slams $500,000 Fine on Citi Global Mkts for Failure To Supervise Employee Accounts. Bill Singer
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2011 Round-up: State of Promissory Note and EFL Arbitrations by Bill Singer
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Away Accounts : Outside Brokerage Accounts Catching FINRA's Attention
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WaMu Loses Solicitation FINRA Arbitration Against Former RRs
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Wells Fargo / Wachovia Whistleblower Employee Wins $7 Million FINRA Award
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repayments calculator
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Disney Seasons:Many kids love them crazy
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Form ADV Part 2
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FINRA Arbitration: Veni, Vidi — but a split Vici in Penson / NWT case
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FINRA Arbitration: Veni, Vidi — but a split Vici in Penson / NWT case
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Wachovia / Wells Fargo Loses Stunning Retention-Award Case Against Former Employee
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FINRA Arbitration Claimant Stipulates to Defaming Former Employee
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