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

Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

January 26, 2019

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4398/securities-industry-commentator/

BREAKING NEWS: Roger Stone Jr. Indicted On Obstruction, False Statements, And Witness Tampering (BrokeAndBroker.com Blog)

READ the INDICTMENT alleging one count of obstruction of an official proceeding, five counts of false statements, and one count of witness tampering.

The Comedic Styling of Commerce Secretary Wilbur Ross: The Ebenezer Scrooge Impression -- Live on CNBC!

FINRA Arbitrators Find Santander Bank's "defense of this matter was wholly insubstantial, frivolous and not advanced in good faith"

In the Matter of the Arbitration Between Michael Klein, Claimant, v. Santander Bank, N.A., Perry Vachon, and Charles Wemuth, Respondents (FINRA Arbitration Decision)

Hennion & Walsh Inc. Settles FINRA Unsuitability Allegations

In the Matter of Hennion & Walsh, Inc, Respondent (FINRA AWC)

Forging Ahead Leave Stockbroker Behind the FINRA Eight Ball

In the Matter of Jenna A. Brown, Respondent (FINRA AWC)

You Know How You Ask Me If You Can Avoid Repaying aCn EFL If You Concoct a Lawsuit Against Your Former Broker-Dealer?

In the Matter of the Arbitration Between Stephen Todd Walker, Individually Stephen Todd Walker Retirement Account Rollover, IRA, Acct. Dorothy S. Walker & F. Scott Donahue TTEES Stephen Todd Walker, Irrevocable Trust, DDT 12/08/2004 Dorothy S. Walker Cust. for Stephen Todd Walker Jr., UGMA/PA Pennstone, LLC Marilyn G. Schade and John E. Schade, Claimants, v. Morgan Stanley Smith Barney, LLC and Daniel Foote Thompson, Respondents (FINRA Arbitration Decision)

Pleased-But-Not-Pleased Customer Complaint Expunged

In the Matter of the Arbitration Between Brandi Rose Stahl, Claimant, v. Lincoln Financial Advisors Corporation, Respondent (FINRA Arbitration Decision)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4397/securities-industry-commentator/

Walgreen Co. Agrees to Pay $3.5 Million to Settle Allegations Under the False Claims Act (DOJ Release)

GUEST BLOG: Who Run the World? by Aegis Frumento Esq

(BrokeAndBroker.com Blog)

The Non-Participating-Participating Customer

In the Matter of the Arbitration Between Jason Michael Traino, Claimant, v. Morgan Stanley Smith Barney, LLC, Respondent (FINRA Arbitration Decision)

U5 Revised to "Disagreement Over Duties and Instruction"
In the Matter of the Arbitration Between Debra Ann Degenshein, Claimant, v. Crest Capital LLC and John Duwayne Guderyon, Respondents (FINRA Arbitration Decision)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4396/securities-industry-commentator/

Customer Venting Is Not Unsuitable

In the Matter of the Arbitration Between Carolyn Song-Pegg, Claimant, v. Fifth Third Securities, Inc., Respondent (FINRA Arbitration Decision)

Not Making the Cut

In the Matter of the Arbitration Between Devonne Kjellsen and Janet Kjellsen , Claimants, v. Morgan Stanley, Respondent (FINRA Arbitration Decision)

Signing Off

In the Matter of Bruce Zaro, Respondent (FINRA AWC)

2019 FINRA Annual Risk Monitoring and Examination Priorities Letter

Texas Investor Guide: Investigate Before You Invest / Strategies for Investing Wisely and Avoiding Financial Fraud (Texas State Securities Board)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4395/securities-industry-commentator/

The cold, harsh reality of the ongoing government shutdown

In re: Pending Administrative Proceedings (SEC Order)

Expungement Ten Years In The Making For Merrill Lynch Stockbroker (BrokeAndBroker.com Blog)

Elderly Lady of Modest Holdings Upset by her stockbroker's commissions

In the Matter of the Arbitration Between David N. Sheppard, Claimant, v. Merrill Lynch Pierce Fenner & Smith Inc., Respondent (FINRA Arbitration).

Man Sentenced to 102 months for Using Stolen Identities to Attempt to Defraud Various Financial Institutions of More Than $1.9 Million Dollars (DOJ Release)

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