An irreverent Wall Street Blog
by Bill Singer

A Stockbroker's Survival Guide: Felonies And Misdemeanors -- what to do

July 24, 2012

I regularly cover FINRA U4 criminal disclosure cases in my Forbes' "Street Sweeper" column. If you are a registered person who has recently been arrested for, charged with, pled to, or been found guilty of a criminal matter, please see these recent articles for guidance on how these issues impact your registration and filing obligations:

Permalink

Search BrokeAndBroker

Related Topics

Previous Entries

Tag Cloud

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