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) and other regulators.
Financial Advisor Friendly
Financially Regulated also covers regulatory developments of interest to financial advisors. Our Finra Focus section, for example, covers Finra disciplinary actions, proposed rules, and disclosure matters, including Form U4 and Finra’s infamous BrokerCheck reports.
No story is too strange for us to cover (see, for example, Was it the $5,000 Cowboy Boots?), but we focus on stories illustrating recurring legal issues in the securities industry, especially if they are amusing. Keep in mind that most of the stories here are based only on regulatory allegations and not on proven facts. Also, nothing here is offered as any sort of legal advice.
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.
Let’s Hear From You!
Comments and suggestions are always welcome at this email address: jeremybartell@financiallyregulated.com
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 nationwide in FINRA inquiries and investigations, Finra arbitration, securities employment disputes and registration and disclosure matters. jeremybartell@bartell-law.com
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