RRBDLAW.com: FINRA case updates

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RRBDLAW.com: Bill Singer’s Monthly Analysis of FINRA Cases<?: prefix = o ns = "urn:schemas-microsoft-com:office:office" />
 
BrokeAndBroker.com
RRBDLaw.com
April 21, 2009
New York, NY
 
Cases analyzed and presented by nationally known regulatory lawyer Bill Singer of http://BrokeAndBroker.com and http://RRBDLAW.com .
 Among the dozens of cases just added to the April FINRA reports are these:
 
The Discounted Sign of the Beast?
 
No, it’s not “666” – more like $6 or $600.  Read about the ATM scam.
http://rrbdlaw.com/RegulatoryLinks/CASESOFNOTE/NASD/2009.htm#rodriguez
 
Not the Folks to Jerk Around
 
A dubious choice, at best! A broker was hit with an IRS garnishment and decided to put his commission under another broker’s number in an effort to hide the dough. Guess what? They caught him. Just imagine how thrilled the good folks at IRS are with this one. Is there like a special sound-proofed room that they take these taxpayers to?
http://rrbdlaw.com/RegulatoryLinks/CASESOFNOTE/NASD/2009.htm#hagan
 
 
Love Is in the Air
 
Then there was the female research analyst who got slammed by FINRA for not disclosing her three-month “romantic relationship” with the CEO/Chair of a covered company.  Sure, there were other things that she did in violation of the rules, but that’s the real attention grabber.
http://rrbdlaw.com/RegulatoryLinks/CASESOFNOTE/NASD/2009.htm#zoysa
 
 
VISIT WALL STREET'S NEWEST ONLINE RESOURCE:
http://BrokeAndBroker.com
 
ABOUT:  BrokeAndBroker.com lambastes the ineffective regulation of Wall Street and advocates for the rights of defrauded investors, independent/regional firms, and individual registered persons. Provocative commentary by veteran regulatory lawyer Bill Singer.

 
See Bill’s online resume at http://rrbdlaw.com/bios_singer.html
 
Media Contact:
(917) 520-2836
rrbdlawyer@aol.com

 
 
WALL STREET'S LEADING ONLINE COMMUNITY:
http://BrokeAndBroker.com

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