Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

January 12, 2019

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer

FINRA member firm's arbitration blows up in its face as former employee wins.
In the Matter of the Arbitration Between William and Henry Associates, Claimant/Counter-Respondent, v. Anna Marie Jacob, Respondent/Counter-Claimant/Third-Party v. David Joel Iannini, Third-Party Respondent (FINRA Arbitration)

GUEST BLOG: Tucker Carlson, AOC, and the 70% Tax Rate by Aegis Frumento Esq ( Blog)

Barred for Starting Broker-Dealer
In the Matter of Charles Gonzalez, Respondent (FINRA AWC)

Fine and Suspension for Discretionary Trading
In the Matter of Gregory Rusnak, Respondent (FINRA AWC )

One of my all-time favorite AWC fact patterns!!! Any other bidders?
In the Matter of Jaime E. Carvallo, Respondent (FINRA AWC)

Oppenheimer TKO'd by Stunning Stockbroker Offset in FINRA EFL Arbitration ( Blog)

OPEN CALL For BrokeAndBroker.Com Blog Contributors

The Mechanical Stuff

If you would like to pitch a Guest Blog for the Blog, please send a brief outline of the proposed article to I don't open attached files from unknown senders, so make sure that your pitch is in the text portion of the email. There is no compensation offered; however, I am happy to include in any article your direct contact information and professional biography.

Big Tent

I welcome all views and perspectives, even when they erroneously conflict with mine. Please do not send me puff or marketing pieces. I want regulatory/legal/compliance commentary on important cases and developing issues. Also, I am seeking thoughtful observations about investing and market trends. Customer advocates and unrepentant industry apologists are all welcome.  

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