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Legal and Compliance Issues

A place to discuss the securities industry’s legal landscape.

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Leaving U5 Unemployment

by newcareer

3

by Windknot

Mar 30, 2009

Credit question..wire to indie

by bdlink

2

by feng shui

Mar 27, 2009

Felonies, Bankruptcies, DUIs, galore

by anonymous

7

by jack_of _all_trades

Mar 25, 2009

BrokeAndBroker: SEC slams OPCO (gifts/emails)

by anonymous

2

by e.giftshoppe

Mar 24, 2009

Compliance Officer / and Producer

by cris

8

by etj4588

Mar 21, 2009

BrokerCheck and Not Registered

by CALI123

2

by CALI123

Mar 20, 2009

Bill Singer on TV: Madoff

by anonymous

4

by norway401

Mar 17, 2009

Countersue a client?

by Pants

8

by Pants

Mar 17, 2009

Non compete

by bankfa10

1

by bankfa10

Mar 13, 2009

Finra Inquiry on 3070 Disclosure

by pingman

2

by OS

Mar 11, 2009

Read the Madoff Criminal Information

by anonymous

1

by anonymous

Mar 11, 2009

Lawsuit or arbitration ? what to do

by Chinasky

3

by Chinasky

Mar 11, 2009

UBS Overtime Lawsuit Appeal?

by jacob0915

2

by smfargo1

Mar 10, 2009

FINRA Whistleblowers

by anonymous

1

by anonymous

Mar 9, 2009

Former firm lost settlement check

by bobsa7

5

by Sam Houston

Mar 7, 2009

Switching Firms, Account Statements

by broker4563

9

by Worstthingieverdid

Mar 7, 2009

Industry Dissidents/Reformers Seek Summit

by anonymous

1

by anonymous

Mar 6, 2009

New Regulatory Scandal?

by anonymous

1

by anonymous

Mar 5, 2009

SEC Charges 14 Specialist Firms

by anonymous

1

by anonymous

Mar 4, 2009

$600 Million Teddy Bear

by anonymous

1

by anonymous

Feb 26, 2009

Contract?

by x50

1

by x50

Feb 23, 2009

Expungement of U5 and CRD- non customer related

by JIMRICH

3

by anonymous

Feb 20, 2009

RRBDLAW: Feb FINRA Case Analysis

by anonymous

1

by anonymous

Feb 20, 2009

SEC Allows Illegal Tape Against RR

by anonymous

1

by anonymous

Feb 17, 2009

Defense from Mgmt

by Pelosi

3

by Pelosi

Feb 11, 2009

Yelling and cursing at customers

by anonymous

5

by SometimesNowhere

Feb 10, 2009

Emailed secure info to home email

by me05448

20

by anonymous

Feb 9, 2009

FINRA/SEC Deny RR Series 7 Waiver

by anonymous

2

by sumwatt

Feb 7, 2009

Lawyers inciting lawsuits

by Sportsfreakbob

1

by Sportsfreakbob

Feb 6, 2009

Non Protocol

by wirehire

2

by wirehire

Feb 4, 2009

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