An irreverent Wall Street Blog
by Bill Singer
by Bill Singer
Street Sweeper at Forbes.com. See what everyone is talking about!
Written: October 18, 2012
Looking for some interesting and fun content? Visit Bill Singer' Forbes.com "Street Sweeper" column. Here are some recent articles folks are talking about -- some are also laughing.
Humpty Dumpty Words For Congress And The SEC
When is a deadline not a deadline? Oh, when it involves Dodd-Frank, the SEC, and the Wells Notice process. If you're frustrated and angry with the double-speak of bureaucracy, you're gonna have a love-hate relationship with this column!
Felony Strangulation Charge Gets Stockbroker
Fined And Suspended
Welcome to the morass of FINRA U4 criminal events disclosure.
Wells Fargo Blindsided In Trainee Fee Loss
Chalk one up for the little guy.
British Bataar Beast of Burden Bharara Brouhaha
Sex. Drugs. Rock 'n Roll. Keith Richards. And Dinosaur Theft!
Feds Get Prison, Fines, Restitution And Forfeiture
In NY Presbyterian Hospital Case
A case worth prosecuting.
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Previous Entries
May 22, 2013
You might not think it would be a big deal for a registered person to handle the brokerage account of a family member -- but, then again, not a lot of... Read On
May 21, 2013
EMPLOYMENT TUESDAY AT BROKEANDBROKER.COMVisit the BrokeAndBroker Employment Page BrokeAndBroker.com JobsIf you are an employer seeking job c... Read On
May 19, 2013
Standby Letters of Credit. Bank Guarantees. Trading Platforms. Oh the crap that gets pushed on the unsuspecting and the unasked questions that too man... Read On
May 17, 2013
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in March 2012, Claimants alleged causes of action includin... Read On
May 16, 2013
The $2.6 Million Question In Goldman Sachs Suitability ArbitrationFINRA arbitration Decisions tend to be unanimous, but, with increasing frequenc... Read On
May 16, 2013
FINRA arbitration Decisions tend to be unanimous, but, with increasing frequency, we are seeing decisions by two of three arbitrators -- and ther... Read On
May 16, 2013
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in November 2011, Claimant Process Engineering Services as... Read On
May 16, 2013
Time and time again I have admonished registered persons about the dangers of using the old blank form short-cut. And, time and time again, I report a... Read On
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