An irreverent Wall Street Blog
by Bill Singer

Two Oddball Wall Street Regulatory Cases

October 12, 2012

SEC Inspector Javert Earns 
$1.8 Million Interest 
On $78,000 Judgment

Seriously, with a headline like that, how can you resist?  A truly amazing regulatory tale.


Fanatical SciFi Army Beams Financial Firm Into Black Hole

And if you're in the mood for another oddball story, you can't pass this one up either.

Permalink

Search BrokeAndBroker

Related Topics

Previous Entries

Tag Cloud

Bill Singer BrokeAndBroker FINRA Arbitration AWC SEC BrokeAndBroker.com Expungement Employment Street Sweeper Guest Blog Bill SInger BrokerAndBroker Wells Fargo Jobs Guest Blogger OBA U5 Fraud Promissory Note Aegis Frumento Email U4 Merrill Lynch EFL Morgan Stanley Wire Fraud Elderly UBS CRD Defamation Forbes Statutory Disqualification FBI PST Suitability Ponzi ALJ Citigroup Whistleblower InSecurities Rule 3270 DOJ BrokerCheck Borrowing Supervision NAC BrokeAndBroker OHO OIP Outside Business Activity Supreme Court Bank IRS Felony Form U4 Willful SDNY Expenses Ameriprise Wrongful Termination Wachovia Pro Se IRA Securities Industry Commentator Mail Fraud Rule 2080 Discretion Rule 8210 WSP Wife Dodd Frank Insider Trading Husband Rule 1122 RIA NASD Punitive Damages Discovery CCO Form U5 Business Expenses Forgery Raymond James Checks Conversion Tax Bankruptcy Rule 2010 Rule 3240 Estate Settlement Employment Tuesday Small Firm Madoff Willfulness JP Morgan NYSE Credit Card LPL Rule 3040 Stephen Kohn Frumento Bar Wall Street Trump Outside Business Activities Annuities Private Securities Transaction Edward Jones Commissions Indictment Rule 3280 Real Estate 2Cir Power of Attorney Margin Corrective Action Statement Tax Liens Facebook Promissory Notes Impersonation Insurance Exam ETF Bank of America Street Legal SRO Antitrust Injunction Tax Lien Schwab Mortgage Spouse Beneficiary ATM TRO Misdemeanor Remand Options Case In Point Signature Wire Complaint Test Rule 2510 Rule 12206 Trust Offer of Settlement OTR POA Away Account Appeal ARS CFTC Initial Decision Schapiro Barclays Lien Annuity VA Goldman Sachs Due Diligence Blockchain NSF Employee Forgivable Loan T&P ACQ Crypto Spouses NASDAQ Loan Trustee Securities Fraud Signatures HFT RBC Money Laundering Liens COVID NASAA Deutsche Bank Jurisdiction DCCir Sanctions Conspiracy Bonus Unauthorized Discretion Rule 4530 PCAOB Eligibility Rule E*Trade Chase Great Recession email Dissent Failure to Supervise Compliance Cease And Desist Flash Crash Stay Mandatory Arbitration Rule 4511 Motion to Dismiss Burris Fidelity Board Rule 3010 Solicitation Explained Decision Undisclosed Settlement Fiduciary Credit Cards Scottrade LOA Broker Protocol OWB Continuing Education FAA Vacatur Customer 9Cir Huffington Post Retaliation Severance Disclosure Rule 3050 Bharara Hacker Deceased Malware Divorce Coronavirus Lehman Brothers Discrimination MSSB Variable Annuity Cryptocurrency Unfair Competition Hacking Unsuitability Identity Theft Willfully Gallagher Unauthorized Trading arbitration Rule 12200 brokeandbroker RRBDLAW.com Disgorgement Reg SP Registered Rep Magazine Retirement Stockbrokers FINRA Arbitration Apple Audit Bitcoin Website Annual Compliance Questionnaire Lucia employment Letter of Authorization Personal Expenses TD Ameritrade JPMorgan Motion to Vacate Sexist Forex Manifest Disregard Variable Annuities 10Cir Wey Reimbursement Wedbush REIT Spoofing Stifel Sexism Customer Complaint LIBOR jobs Away Accounts Self Regulation Solicited Social Media RMBS Statute of Limitations Commission BrokeAndBroker Bill Singer FINOP Will Lehman Class Action Internet Registration Rule 12805 Prison Confidential Information Elder Abuse Net Capital 2nd Circuit Second Circuit Brummer Postponement Telephone Zipper FOREX Hedge Fund BrokeAndBroker.com Blog Plea Private Placement Bureau of Prisons Indemnification Sanction Guidelines MetLife RRBDlaw.com Arbitraiton BrokeandBroker Charles Schwab Rule 2111 Due Process Examination Trading Platform Marijuana Rule 3110 Fees Private Securities Transactions Waiver Loans Kokesh China Bonds Rule 2150 Judgments IC3 Board of Governors Debit Card Unsolicited Time And Price BOP Newman bill singer Imposter MC-400 Hilton Weiner Unjust Enrichment Puerto Rico IPO Bear Stearns WSPs PNC Morgan Keegan Mutual Funds TOD NYAG CRS Obstruction of Justice Motion to Confirm CNBC Joshua Brown BD Stifel Nicolaus Cheating IAR Compensation OSHA Botkin Credit Suisse FNMA Auction Rate Securities Check Kiting CPA Widow Knight Rule 9552 Protocol Charge Rakoff Suspension Testimony Public Interest Lawyer DOL Counterclaim ADA CE Confirm Crowdfunding FINRA Board Regulation SP JOBS Act AML Employment Agreement Dakota Securities Emails Small Firm Governor Piwowar OIG Executor Passcode EIA Immunity Cannabis ING Wine Tortious Interference Medicare Affiliate Embezzlement TSSB Rule 13805 Raiding PN Appointments Clause Non Solicitation Confidential Stanford Sales Assistant Wire Transfer Unsuitable Standing Rule 2081 Inability to Pay Shah Gilani Mother Exhaustion of Administrative Remedies Rule 4513 Customer Information Ketchum Broke And Broker MF Global SAC TheBlot Phishing Hurry Restaurant Concentration VIX Charity Bank Fraud Feigenbaum 4Cir expungement High Frequency Trading Churning Banc of America Article V Morgan Stanely Series 7 Reg D Check Circuit Court Dementia Conflict Bandimere Whistleblowing CEO Elder Fraud Termination Rule 12904 USERRA Gold Rule 13200 Rule 12504 Reg S-P Day Trading Pennystock Aleynikov Woody Allen Bloomberg Khuzami Oppenheimer Rosenthal Recruiting Affinity Fraud Sharemaster Moon Bid Rigging Star Wars SunTrust Obstruction 3Cir Slander Vault Statement of Corrective Action Constitution AAA Corruption Kon Wanger Form ADV Medical Condition Eligibility Rule 3030 Talman Harris Subpoena Hearing Diversity Guitron Laptop Chief Compliance Officer Membership Continuance 6Cir EDNY White Self Regulatory Organization Parking Statutory Disqualification Committee Disability Ethereum Amazon Teleconference Unregistered Rule 2210 Probate Non-Solicitation Research FINRA AWC Side Bar Libel Unauthorized Practice of Law Commodities Fraud Leveraged ETF Argentina IM 6th Circuit McDuff Information Negligence Trade Secrets securities industry commentator TCR Taxes Margin Call Attorneys Fees Vietnam Ride the Thunder Corzine Marines Marine Corps Honorarium Deferred Compensation Linde Murphy Consent Order OCIE PAQ ICO BrokeAndBroke Written Supervisory Procedures Casino Pennystocks Hugh Hewitt Aguilar WB-APP Testing Johnny Burris SDFL Outside Account Administrative Remedies ACH Layering Yesenia Guitron Funds Joint Account Whitman HSBC Government Accountability Project Private Placements Mutual Fund Failure To Supervise Lawyers NPR Online Marketplace David Sobel Poteroba 9/11 Federal Reserve Nietzsche Smith Barney 401k Accounting Finder\'s Fee Morgan Stanley Smith Barney Penson Hospital Selling Away CDO Dell 17a-5 Rationale Relevant FCPA Annual Audit Control Person Lincoln Financial Chevron Scholander Absolute Immunity Arbitration Reuters Backstage Wall Street Trader Sarbanes Oxley AXA Obama NoCA Test Center Red Flags Fine Fiduciary Duty SP Hester Peirce Sexual Discrimination Robert Cook Guest Bloggers Self Directed Texting JPM Johnson Fowler VXX Capital Gains Prudential Rule 9554 Crime 40 Act RRBDlaw Taft Correctional Institution Christian Stanley Reverse Life Insurance Newport Coast Securities RICO Sexual Harassment Inmate Withdrawals Resignation Whistleblowers Moore Enforcement 11Cir Netschi Client Information Counterfeit Rule 9216 Kiting TIC Fines Fifth Amendment WaMu Motion to Compel CGMI Attorneys\' Fees NYG Capital FOCUS Florida SD PIABA Settling Away BrokerAndBroker.com S&P Death Rory Flynn Commissioner Stein Rule 12212 Blank Forms 401(k) Regulation S-P BrokeAndbroker Meals Google Judgment Trading Elder Law signature Over Concentration Inside Information YouTube Motion 11th Circuit Schneiderman Life Insurance Chiasson Reform CD Saad Beneficiaries Turnover Non Solicit Excessive Trading Stockbroker Investment Adviser Timban David Lerner Pruco Verbal Discretion Oral Discretion Stop Loss Copyright Rule 2370 Relevant Disciplinary History Service Rule 1031 FINRA Small Firm OWWP Outside Accounts ESOP NDCA SIFMA Do Not Call Scottsdale Regulation 1Cir Respondeat Superior Equity Indexed Annuities Tax Fraud Disciplinary History Biden Congress Female First Amendment Data Cold Spring Advisory Group LLC Investor Alert Privilege Jennifer Tarr Escrow BATS Confirmation Rule 21F Password Fee Commodities Arrest Chase Investment Services Money Market Electronic Communications Third Party Vendor Stipulated Award Puts Robert Muh Permanent Bar RR Department of Justice Expert Witness FCI Elles Thain FCI Beaumont Fiero FNI Media Sharing Agreement Retroactive Wages Constructive Discharge Risk Banks Legend DWI Falsification Expense Mistake Bartko Books and Records 9th Circuit Microcap NRSRO McCartney PHC Practice Sale Retroactive Bar Municipal Advisor false statements Life Settlement CMA Lexicon Books And Records Rule 2430 Capitalism Patriot Act Jon Corzine Checking Goble Cryptocurrencies Nationwide Twitter Preliminary Determination Retired Woman With Cane Powell Undercover Statute of Limitation FDA CAT Bezos Obamacare Tennis Court Arbitrator EDPA Well Managed Portfolio Last Known Address Mantar Springsteen Elon Musk Collateral NML Silver Anderson Merrill Galleon Diamonds Leveraged ETFs Salman Confidentiality Work Product Willfull Lee Compliance Questionnaire William Faulkner Advisor Placement Group Martoma Father Confidential Customer Information BIll Singer Janney Montgomery Scott Baby Boomers Evidence MDLA SEC Rules of Practice Bribe UIT Liquidation Theft Disney Trainee Fee Laser Criminal Daspin Mary Schapiro Malice IBM Self Reporting Flash Drive ADR Preet Bharara HBO Orders Mattera FMLA Excel Kennedy Sex Fraudulent Inducement BrokeandBroker.com Deferred Prosecution Agreement Tran Countrywide Romer DPA Preliminary Injunction GAP Turbeville Pacifico Spoliation Non-Prosecution Agreement Walter Vacate QuadrigaCX Exception Reports Kenneth Starr Altered Records Conflict of Interest Exhaustion Doctrine Lek fraud EEOC Executrix Principal Branch Manager Apartment mail fraud Liu wire fraud Municipal Bonds ETFs Undertaking Murray SIPC Koval Eric Stein PSRO Cherry Picking Quasi Governmental Women State Actor ALJ Grimes Schumer Rule 420 Solomon Penalty Summary Judgment Ten Commandments Non Compete Rule 3310 Reasonable Exotic ETF Breach of Contract Section 206 Tipper Oilpro Kent RRBDLAW Tippee Stephen A. Kohn Series 79 Dow Skimming Naskovets Diabetes Financial Disclosure money laundering In House Counsel Outside Counsel BitTorrent 5Cir Traders Impersonator Brokeandbroker.com Broy ADEA Age Discrimination AWC. FINRA Prime Bank Game of Thrones Rules of Practice Production Dostoevsky Default Conflicts Credit Repair MBS Travel Texas State Securities Board Nasdaq Rule 2330 Chase Bank Payroll Margin Calls Subway Hackers Currency Spam Sterne Agee Merill Lynch Civil Rights Election God Witness Tampering Lewis Carroll Sears JPMorgan Chase Covid-19 Pension Dissident Harris Securities and Exchange Commission Deceased Customer Bob Dylan NFA Customers Investacorp House Financial Services Cybercrime National Securities Promoter BBVA Son Irreparable Harm Collateral Bar Restitution Transfer US Airways Wang Clayton Proctor Series 66 Cellphone 10b-10 Initials Reason for Termination Res Judicata 8210 Boyland Offset MSPB Reverse Merger Unauthorized Trades Office of Special Counsel Compliance Officer Mary Jo White Ethics CMO Motion To Dismiss Bill singer Scam Gabelli Allstate Gifts Racism Fourth Amendment Wells Fargo Advisors Molchatsky Wire Transfers Kierkegaard Personal Information Income Stock Promotion iPhone Wires Compromise Berthel Fisher Binary Options FTC Costa Rica Short Sale Rule 3210 Supervisor Hertz Rule 12104 Led Zeppelin Disparate Treatment 1099 NY Life Finra Dinner Varney AIG Guardian 10b-5 Coin Newbridge EB-5 Stipulation Customer Files ALJ Foelak Merger Grievance State Farm Bank Guarantee Bill Singer BrokeAndBroker Martin