RRBDLAW.com: FINRA case updates

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Apr 21, 2009 12:43 pm

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RRBDLAW.com: Bill Singer’s Monthly Analysis of FINRA Cases<?: prefix = o ns = "urn:schemas-microsoft-com:office:office" />

 

BrokeAndBroker.com

RRBDLaw.com

April 21, 2009

New York, NY

Cases analyzed and presented by nationally known regulatory lawyer Bill Singer of http://BrokeAndBroker.com and http://RRBDLAW.com .

 
Among the dozens of cases just added to the April FINRA reports are these:

The Discounted Sign of the Beast?

No, it’s not “666” – more like $6 or $600.  Read about the ATM scam.

http://rrbdlaw.com/RegulatoryLinks/CASESOFNOTE/NASD/2009.htm#rodriguez

Not the Folks to Jerk Around

A dubious choice, at best! A broker was hit with an IRS garnishment and decided to put his commission under another broker’s number in an effort to hide the dough. Guess what? They caught him. Just imagine how thrilled the good folks at IRS are with this one. Is there like a special sound-proofed room that they take these taxpayers to?

http://rrbdlaw.com/RegulatoryLinks/CASESOFNOTE/NASD/2009.htm#hagan

Love Is in the Air

Then there was the female research analyst who got slammed by FINRA for not disclosing her three-month “romantic relationship” with the CEO/Chair of a covered company.  Sure, there were other things that she did in violation of the rules, but that’s the real attention grabber.

http://rrbdlaw.com/RegulatoryLinks/CASESOFNOTE/NASD/2009.htm#zoysa

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