An irreverent Wall Street Blog
by Bill Singer

Bloomberg's Susan Antilla Starts off the New Year With A Blast -- at regulators!

January 4, 2012

Veteran Wall Street reporter Susan Antilla kept her powder dry over the holidays but unleashed quite the barrage today.  Here's her column's opening salvo:

On the surface, the year 2011 was one of ramped-up securities regulation and scary times for financial scammers, with enforcement cases soaring at the U.S. Securities and Exchange Commission and coverage galore about the humbling of inside traders and municipal-bond riggers.

Along with the sexy headlines about felled lawbreakers, though, there were also troubling free passes and favors granted to the accused and the privileged.

Laws that were set up to punish bad guys got waived within days of the press releases announcing that the offenders had been brought down. Well-connected lawyers in the employ of investment firms got express-lane access to regulatory brass.. .

A truly impressive column and a must read: Bloomberg's Antilla: Wall Street's Big Swingers Get Biggest Breaks

Permalink

Search BrokeAndBroker

Related Topics

Previous Entries

Tag Cloud

Bill Singer BrokeAndBroker FINRA Arbitration AWC SEC BrokeAndBroker.com Expungement Employment Street Sweeper Bill SInger Jobs Wells Fargo U5 Fraud OBA Promissory Note Guest Blog U4 Email Guest Blogger BrokerAndBroker Merrill Lynch Aegis Frumento Wire Fraud EFL UBS Morgan Stanley Elderly CRD Defamation Forbes FBI Suitability Statutory Disqualification PST Ponzi ALJ Citigroup Whistleblower Borrowing Rule 3270 DOJ Supervision BrokerCheck Outside Business Activity Bank OIP IRS BrokeAndBroker Felony Form U4 Willful NAC SDNY Wrongful Termination OHO Pro Se Wachovia Expenses Supreme Court Ameriprise IRA Rule 2080 Mail Fraud Insider Trading Wife WSP Husband Discretion Rule 8210 CCO Conversion Dodd Frank Forgery Checks RIA Raymond James Discovery NASD Business Expenses Punitive Damages Settlement Form U5 Employment Tuesday Rule 1122 Bankruptcy Estate Tax Rule 3240 Madoff Rule 3040 Rule 2010 Willfulness JP Morgan Credit Card Private Securities Transaction Frumento NYSE LPL Wall Street Small Firm 2Cir Annuities Outside Business Activities Bar Real Estate Indictment Commissions Power of Attorney InSecurities Impersonation Facebook Edward Jones Margin Bank of America Street Legal Corrective Action Statement ETF Exam Tax Lien Promissory Notes Rule 3280 Spouse ATM Securities Industry Commentator SRO Tax Liens Mortgage Beneficiary Case In Point Injunction Wire Offer of Settlement Schwab Trust Antitrust Complaint Stephen Kohn Schapiro ARS CFTC Appeal Insurance Rule 2510 Annuity Test Options Away Account Signature Initial Decision Barclays T&P Trustee Rule 12206 Due Diligence NSF Loan VA Misdemeanor Employee Forgivable Loan Goldman Sachs Spouses Deutsche Bank Conspiracy Signatures RBC Lien POA Remand HFT Securities Fraud NASAA OTR Unauthorized Discretion NASDAQ Liens Money Laundering Chase Cease And Desist Mandatory Arbitration PCAOB Great Recession Fidelity Eligibility Rule DCCir Trump Sanctions Crypto Bonus Blockchain Flash Crash Rule 4530 Continuing Education Credit Cards Huffington Post Rule 4511 Dissent LOA Rule 3010 Stay Burris email Failure to Supervise E*Trade Undisclosed Settlement Compliance Variable Annuity Hacker Disclosure Identity Theft Deceased Divorce Unfair Competition MSSB Hacking Rule 3050 Cryptocurrency Fiduciary RRBDLAW.com Broker Protocol Solicitation OWB Registered Rep Magazine Lehman Brothers ACQ Bharara TRO Gallagher Scottrade Unsuitability Audit Annual Compliance Questionnaire FINRA Arbitration Reg SP Customer Spoofing Retirement Board Explained Decision JPMorgan Malware Stockbrokers Discrimination Motion to Dismiss Sexist Jurisdiction Forex brokeandbroker Unauthorized Trading Willfully Apple Wedbush employment Reimbursement Letter of Authorization Website Will Solicited Lehman jobs Net Capital Variable Annuities Rule 12805 Personal Expenses Away Accounts Lucia Prison Severance Second Circuit Vacatur RMBS Wey Registration Retaliation 2nd Circuit Self Regulation Bitcoin Elder Abuse Internet FINOP Customer Complaint Disgorgement Sexism Social Media BrokeAndBroker Bill Singer arbitration LIBOR RRBDlaw.com Charles Schwab Plea Trading Platform REIT Private Placement Commission BrokeandBroker Hedge Fund IC3 Newman Telephone Imposter Motion to Vacate Rule 12200 FOREX Confidential Information Unsolicited Postponement Private Securities Transactions MetLife Indemnification Judgments Hilton Weiner Stifel Bonds Loans Bureau of Prisons BOP China Brummer 9Cir 10Cir Time And Price Arbitraiton Zipper Marijuana BrokeAndBroker.com Blog Testimony Lawyer Widow Rule 2150 Auction Rate Securities Stifel Nicolaus WSPs Waiver Dakota Securities Unjust Enrichment MC-400 Rakoff CNBC Protocol Piwowar Fees bill singer Rule 3110 Statute of Limitations NYAG Check Kiting Rule 2111 Sanction Guidelines Morgan Keegan CPA Examination Suspension IPO Crowdfunding TD Ameritrade JOBS Act OSHA ADA FNMA FAA CE Obstruction of Justice DOL Knight Debit Card PNC Mutual Funds Cheating Compensation Emails Joshua Brown Botkin Public Interest Puerto Rico SAC Cannabis Bandimere Passcode Rule 13805 Medicare Raiding Elder Fraud Appointments Clause Rule 9552 Non Solicitation Rule 2081 Affiliate ING EIA Dementia Unsuitable Wire Transfer Board of Governors Article V Oppenheimer AML Confirm Hurry Pennystock Reg S-P Due Process Gold Conflict MF Global Series 7 Wine Check Morgan Stanely Restaurant Confidential Rule 13200 Reg D CEO Customer Information Executor Rule 12504 CRS Regulation SP Class Action TSSB Sales Assistant PN Credit Suisse Charge Inability to Pay Shah Gilani Whistleblowing Embezzlement OIG TOD Aleynikov Bloomberg Counterclaim Woody Allen Rosenthal Recruiting USERRA High Frequency Trading Affinity Fraud Ketchum Khuzami Phishing Churning Stanford Bear Stearns Banc of America Subpoena Penson Corruption Side Bar Hearing Self Regulatory Organization Rule 3030 White Testing Form ADV Private Placements Johnny Burris Guitron Poteroba HSBC Termination Kon Online WB-APP Yesenia Guitron Outside Account Layering Smith Barney Accounting Commodities Fraud Government Accountability Project Concentration Whitman Unauthorized Practice of Law Motion to Confirm Parking Probate Small Firm Governor Teleconference Obstruction Medical Condition PAQ Failure To Supervise Rule 2210 Circuit Court Kokesh IM Laptop Information Chief Compliance Officer Bid Rigging Star Wars Disability Morgan Stanley Smith Barney Funds Margin Call Feigenbaum Finder\'s Fee Marine Corps Marines Slander Tortious Interference Trade Secrets Unregistered Vietnam Ride the Thunder ACH ICO Eligibility McDuff Charity Mutual Fund TCR Day Trading NPR Written Supervisory Procedures Casino Membership Continuance Vault Federal Reserve 401k Marketplace 6th Circuit Moon Leveraged ETF Statutory Disqualification Committee Rule 4513 Corzine Employment Agreement Joint Account David Sobel Mother Statement of Corrective Action expungement Consent Order Linde Murphy SunTrust Bank Fraud Manifest Disregard Pennystocks Broke And Broker Standing Aguilar Deferred Compensation Libel Regulation Stipulated Award CGMI JPM Equity Indexed Annuities Attorneys\' Fees Inside Information FCI Outside Accounts FCI Beaumont WaMu SP Resignation Password Wanger Congress Hester Peirce 9/11 TheBlot Sexual Discrimination Rule 2370 Meals Fifth Amendment Rule 1031 First Amendment Scholander SIFMA signature FOCUS Thain 11Cir Robert Cook Kiting Texting Counterfeit Sexual Harassment Red Flags Client Information Do Not Call PIABA IAR Guest Bloggers Rule 21F ESOP Hospital CDO Dell Constitution Amazon Settling Away Fine Third Party Vendor Ethereum RRBDlaw BD Control Person Robert Muh AXA Fowler Sharemaster Scottsdale Florida Attorneys Fees 4Cir Administrative Remedies Sarbanes Oxley Puts BrokeAndBroke Fines Talman Harris TIC Backstage Wall Street Electronic Communications Nietzsche 40 Act OCIE Rule 9216 Tax Fraud Privilege Stop Loss Investor Alert VXX VIX Judgment Google 11th Circuit Chiasson Rule 12212 Research OWWP Inmate CD Data Turnover Escrow RICO Female Jennifer Tarr Withdrawals Cold Spring Advisory Group Trading Rory Flynn Excessive Trading Selling Away David Lerner Oral Discretion Stockbroker Investment Adviser YouTube 401(k) Commissioner Stein Verbal Discretion Lincoln Financial Death Over Concentration Schneiderman Elder Law Negligence BrokeAndbroker Netschi Moore FINRA AWC EDNY Argentina Elles BATS Commodities Non-Solicitation Motion Christian Stanley Taft Correctional Institution Chase Investment Services Money Market Timban BrokerAndBroker.com Arrest Reverse Life Insurance Department of Justice Respondeat Superior Office of Special Counsel Tipper Reform DWI Bill singer Executrix Bill Singer BrokeAndBroker FDA Coin Altered Records Age Discrimination Merger CMO FMLA Mary Jo White Expense Conflicts Pruco Liquidation Fiero Lewis Carroll Unauthorized Trades Tippee Regulation S-P ADEA Rule 9554 QuadrigaCX Cybercrime Texas State Securities Board FINRA Board SD Obamacare Transfer Prime Bank Subway FCPA Father MSPB BIll Singer Preet Bharara Jon Corzine Salman NoCA State Farm 10b-5 Flash Drive Nasdaq Customers NFA Stock Promotion Checking Statute of Limitation Grievance Credit Repair Advisor Placement Group 1Cir Martin Municipal Bonds Disciplinary History Gabelli Willfull NY Life Taxes Reason for Termination House Financial Services Spoliation Initials Proctor Lexicon Gifts ADR Expert Witness Blank Forms Sterne Agee Customer Files Witness Tampering Apartment Nationwide Bank Guarantee Broy Fiduciary Duty JPMorgan Chase Restitution Clayton GAP Well Managed Portfolio Newport Coast Securities Election MBS Confidential Customer Information Stephen A. Kohn S&P Arbitration Compliance Officer Rule 3310 Promoter Disparate Treatment Motion To Dismiss Turbeville Securities and Exchange Commission Rule 12904 Theft Kierkegaard Lee Anderson Merrill Fourth Amendment Exotic ETF Rule 420 Solomon Molchatsky Goble Quasi Governmental State Actor Reasonable Rules of Practice Series 79 Short Sale Galleon Microcap PHC Trader In House Counsel Compromise 17a-5 Annual Audit Wire Transfers BrokeandBroker.com Outside Counsel Wires Relevant Summary Judgment Financial Disclosure Reuters Brokeandbroker.com Mattera Women Capitalism Risk Banks Mary Schapiro Trainee Fee Bezos Laser Saad Chevron Oilpro Wells Fargo Advisors Excel RRBDLAW Deferred Prosecution Agreement Undercover DPA Dinner BBVA Practice Sale Leveraged ETFs Self Directed Work Product Immunity Guardian Merill Lynch Supervisor Beneficiaries iPhone Exhaustion Doctrine Kent Cherry Picking Pacifico Non-Prosecution Agreement Honorarium Currency Elon Musk AWC. FINRA Hugh Hewitt SDFL Wages Branch Manager Bartko Silver ALJ Grimes Sears Self Reporting Eric Stein Production Municipal Advisor Springsteen Undertaking Mistake NRSRO Pension Travel Evidence Life Settlement 6Cir Collateral UIT National Securities Janney Montgomery Scott Impersonator BitTorrent Payroll Game of Thrones Chase Bank SEC Rules of Practice God Collateral Bar NML Life Insurance FINRA Small Firm Criminal Kennedy Section 206 Service Cryptocurrencies Romer Sex Arbitrator EDPA Test Center Binary Options LLC Fee NYG Capital Irreparable Harm Retroactive Newbridge Diamonds McCartney 9th Circuit Exception Reports Books And Records Confirmation IBM Lek FNI Media Martoma Retroactive Bar Reverse Merger Scam Hertz Rule 2330 Constructive Discharge Sharing Agreement Whistleblowers Tran Countrywide Diabetes Kenneth Starr 8210 Orders Daspin Motion to Compel Rule 3210 Fraudulent Inducement Offset Compliance Questionnaire Finra Powell Naskovets Koval Dow Varney Tennis Court Retired Woman With Cane Books and Records Walter US Airways Johnson 3Cir 1099 Cellphone false statements SIPC Ethics Falsification Baby Boomers Bob Dylan Lawyers AAA Schumer Prudential Murray AIG Capital Gains Spam Skimming Costa Rica Bribe Crime Enforcement Permanent Bar FTC Boyland Personal Information