A Lighthearted Look at Those Being Regulated, Financially.
Financially Regulated reviews amusing but informative regulatory actions against Wall-Street players and those pretending to be Wall-Street players. We cover lawsuits and disciplinary actions by the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the Commodity Futures Trading Commission (CFTC) and state securities regulators.
No case is too strange for us to cover (see, for example, Was it the $5,000 Cowboy Boots?), but we focus on those illustrating recurring legal issues in the industry, if they are amusing. Note that most stories here are based only on regulatory allegations and not on proven facts (leaving open to doubt, for example, how much the cowboy boots actually cost). Nothing here is offered as any sort of legal advice.
Bullzie & Bearzie of B&B Brothers LLC — A Comic
Sometimes we poke fun at the industry through Bullzie & Bearzie, the stockbroker duo at the helm of B&B Brothers LLC, a broker-dealer and investment bank that often finds itself embroiled in the regulatory issues of the day.
Financial Advisor Friendly
Financially Regulated also covers regulatory developments of interest to financial advisors. Our Finra Focus section, for example, covers Finra disciplinary actions and settlements involving financial advisors and other registered persons. Also covered are disclosure issues, including Forms U4 and U5 and FINRA’s infamous BrokerCheck reports.
Published by Jeremy L. Bartell
Financially Regulated is published by Jeremy L. Bartell, a long-time admirer of Wall Street and its interesting cast of regulators. Jeremy is an attorney with Bartell Law in Washington D.C., where he represents financial professionals in FINRA arbitration, regulatory investigations, employment disputes and licensing matters.
Let’s Hear From You!
Comments and suggestions are always welcome at this email address: jeremybartell@financiallyregulated.com
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