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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:

  • Former Citi Stockbroker Fined And Suspended In Form U4 Felony Disclosure Case
  • Pain Pills Put Stockbroker In A World Of FINRA Hurt
  • Stockbroker's DUI Puts Career In The FINRA Ditch
  • FINRA Says It Looked And Quacked Like A Felony And Must Be Disclosed 
  • Stockbroker Convicted Of Motor Vehicle Felony Poses Reporting Problems Fodiscr Brokerage Employer
  • A Stockbroker's Undisclosed Arrest Sets Off A Regulatory Cavalcade of Disaster
  • Broker Fined and Suspended For Untimely Disclosure Of Felony For Unpaid Child Support

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About Bill Singer

BILL SINGER is a lawyer who represents securities-industry firms, individual registered persons, Wall Street whistleblowers, and defrauded public investors. For over three decades, Singer has represented clients before the American Stock Exchange, the New York Stock Exchange, the Financial Industry Regulatory Authority (formerly the NASD), the United States Securities and Exchange Commission, and in criminal investigations brought by various federal, state, and local prosecutors. He has the distinction of representing witnesses during Congressional investigations. In 2015, Singer achieved a significant award in excess of $1 million from the Securities and Exchange Commission on behalf of a whistleblower client.

Singer is presently Of Counsel to a law firm and the publisher of the Securities Industry Commentator feed and the BrokeAndBroker.com Blog, which was rated as one of the industry's top eight destination websites and the leading legal/regulatory blog by "Investment News."

Before entering the private practice of law, Singer was employed in the Legal Department of Smith Barney, Harris Upham & Co.; as a regulatory attorney with both the American Stock Exchange and the NASD (now FINRA); and as a Legal Counsel to Integrated Resources Asset Management. Singer was formerly Chief Counsel to the Financial Industry Association; General Counsel to the NASD Dissidents' Grassroots Movement; and General Counsel to the Independent Broker-Dealer Association. He was registered for a number of years as a Series 7 and Series 63 stockbroker.

Singer regularly appears as a commentator on television and radio, and is frequently quoted in the press. He is an outspoken critic of ineffective regulation and an advocate for economic and political sanity.

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