The Wall Street Legal & Regulatory Feed
Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW
January 19, 2019Prominent Global Law Firm Agrees to Register as an Agent of a Foreign Principal / Civil settlement resolves Department of Justice national security inquiry into violations of the Foreign Agents Registration Act (DOJ Release)
State of the Union: Clowns to the Left, Jokers to the Right (BrokeAndBroker.com Blog)
Arbitrator Rules in E*Trade's Favor in Market Manipulation Arbitration And Laments Inability to Sanction Customer Claimant
In the Matter of the Arbitration Between John Mercaldi, Claimant, v. E*Trade Securities Inc., Responsent (FINRA Arbitration)
Dot.com Crash Complaint Expunged
In the Matter of the Arbitration Between Steven Patrick Flagg, Claimant, v. UBS Financial Services Inc., Respondent (FINRA Arbitration)
Misguided Unsuitability Allegations Expunged In the Matter of the Arbitration Between Richard M. Del Monte, Claimant, vs. Securities America, Inc., Respondent (FINRA Arbitration)
Creative Writing 101: How to Explain Mistaken IRA Deposit In the Matter of Mark Isidore Lamendola, Respondent (FINRA AWC)