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 http://www.rrbdlaw.com/4376/securities-industry-commentator/

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 (BrokeAndBroker.com 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 (BrokeAndBroker.com Blog)

















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The Mechanical Stuff

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Big Tent

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