Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW - BrokeAndBroker.com

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Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

January 5, 2019

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4366/securities-industry-commentator/

Unstrained Mercy Gently Rains Down After FINRA Bar (BrokeAndBroker.com Blog)

In the Matter of the Arbitration Between Linda Zimmerman and Henry Zimmerman, Claimants, vs. IFS Securities. TFS Securities, Inc. and Francis Gendlek, Respondents (FINRA Arbitration)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4365/securities-industry-commentator/

In the Matter of Megan Nina Weakland, Respondent (FINRA AWC)

GUEST BLOG: Bitcoin is Not Blockchain's Best Use Case by Aegis Frumento Esq.(BrokeAndBroker.com Blog)

Interactive Brokers, LLC and Kevin Michael Fischer, Plaintiffs/Appellants, v. Richard W. Barry, as Receiver for Osiris Fund Limited Partnership, Defendant/Respondent (Opinion, Superior Court of New Jersey/Appellate Division)

In the Matter of the Arbitration Between Lorenzo Christopher Philip Mittleman, Claimant, v. UBS Financial Securities, Inc., Respondent (FINRA Arbitration)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4364/securities-industry-commentator/

In the Matter of Hertz Global Holdings, Inc. and The Hertz Corporation, Respondents (SEC Order)

In the Matter of the Arbitration Between James John Raia, Claimant, v. Greenpoint Securities LLC., Respondent (FINRA Arbitration)

Ir-Rationale FINRA Merrill Lynch EFL Arbitration Decision Cited By Tax Court (BrokeAndBroker.com Blog)

In the Matter of the Arbitration Between Stanley E. Young vs. Timothy Ryan Grossman and Valic Financial Advisors, Inc. Rspondents (FINRA Arbitration)

In the Matter of the Arbitration Between Shawn Thomas Peterson, Claimant, v. Hilltop Securities Inc., Respondent (FINRA Arbitration)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4363/securities-industry-commentator/

Wells Fargo Bank, N.A. entered into a $575 million settlement with all 50 states and the District of Columbia that effectively resolves investigations by the states Attorneys General into:

Ir-Rationale FINRA Merrill Lynch EFL Arbitration Decision Cited By Tax Court (BrokeAndBroker.com Blog)

Federal Courts Address Government Shut-down In re: Stay of Civil Matters Involving the United States as a Party.

In the Matter of the Arbitration Between Shawn Michael Richardson, Claimant, v. Prudential Equity Group, LLC and Wells Fargo Clearing Services, LLC, Respondents (FINRA Arbitration)

In the Matter of the Arbitration Between Denise A Badgerow , Claimant, v. Ameriprise Financial Services, Inc., Thomas James Meyer, Ray Anthony Trosclair, and Gregory Alan Walters, Respondents

Thomas James Meyer, Ray Anthony Trosclair, and Gregory Alan Walters, Counter-Claimants, v. Denise A Badgerow, Counter-Respondent (FINRA Arbitration)

In the Matter of the Arbitration Between Lorenzo Daniel Esparza, Claimant, v. J.P. Morgan Securities, LLC, Respondent (FINRA Arbitration)

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