An irreverent Wall Street Blog
by Bill Singer
by Bill Singer
Street Sweeper Articles by Bill Singer, Veteran Wall Street Lawyer
Written: January 19, 2013
IRA Customers Sue Morgan Stanley Over KFN Tax Bill
Forbes-by -Jan 14, 2013In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in November 2011 and thereafter amended, ...Customers Sue Wells Fargo Over Leveraged ETF Trades
Forbes-by -Jan 16, 2013In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in February 2011, the Moshars asserted, among other ...Barred Stockbroker Barred Again For Wire Transfers From Elderly ...
Forbes-by -Jan 17, 2013This is a serious case of a broker in severe financial difficulty who engaged in a scheme to convert customer funds in order to pay his personal ...
Wells Fargo Branch Manager Barred Over iPod Purchases
Forbes-by -Jan 15, 2013Denise Olson entered the securities industry in 1991 and by 2004 had joined Wachovia Securities, Inc. (later known as Wells Fargo Advisors, ...Citigroup Broker Exonerated In $2.5 Million Great Recession Case
Forbes-by -Jan 15, 2013In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in December 2009, among the causes of action ...
Tullet Prebon's $16 Million Raiding Case Broadside Against BGC ...
Forbes-by -Jan 14, 2013In the Matter of the FINRA Arbitration Between Tullett Prebon Financial Services LLC and Tullett Prebon Americas Corp., Claimants, vs.
Till Death Do Us Part Stumps Stockbroker
Forbes-by -Jan 11, 2013For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting ...
Raymond James Wrongful Discharge Case Is A Minefield For ...
Forbes-by -Jan 10, 2013Feds Indict Breathtaking Tax Cheat
Forbes-by -Jan 8, 2013Former Morgan Stanley Branch Manager Litigates Hobson's Choice
Forbes-by -Jan 9, 2013FINRA Taping Rule Punted By Federal Courts
Forbes-Jan 4, 2013Bogus Bambino Baseball Glove Scam
Forbes-by -Dec 21, 2012David Whatshisname Pulls A No-Show In Federal Court Sentencing
Forbes-Dec 20, 2012Veteran Stockbroker Fined And Suspended For Personal ...
Forbes-by -Jan 8, 2013
[^top^]
Previous Entries
May 23, 2013
You got your folks who dream. You got your folks who dream big. And then you got a guy like Saquib Khan, 51, Staten Island, NY, who, well, to be frank... Read On
May 23, 2013
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or de... Read On
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
Related Topics
Tag Cloud
Internet FINRA Bear Stearns Bloomberg SEC NASD NYSE Money Laundering Due Diligence Waiver Forbes China Chepucavage Broy Woody Allen Madoff NAC NPR Marketplace Stanford UBS Ketchum Antitrust NASDAQ RRBDLAW Schapiro Bill Singer BrokerAndBroker USERRA Brokeandbroker.com Morgan Keegan Arbitration BrokeAndBroker.com Khuzami BrokeAndBroker Aleynikov Goldman Sachs Promissory Note U4 Bill SInger EFL CFTC Huffington Post Flash Crash arbitration RBC RRBDLAW.com Ponzi Affinity Fraud Wachovia Raymond James BrokeandBroker.com Expungement Fraud Securities Fraud Outside Business Activity Registered Rep Magazine FOREX BrokerAndBroker.com FBI Banc of America Pro Se Supreme Court Morgan Stanley Smith Barney E*Trade Margin email Penson U5 Defamation Protocol Wells Fargo Punitive Damages Citigroup Merrill Lynch ARS Employee Forgivable Loan Street Legal Morgan Stanley AWC Fidelity Bankruptcy Broke And Broker HFT David Sobel Ameriprise Commissions Spouse Schwab CRD Kenneth Starr IRS CNBC Complaint ATM Skimming Hacking Phishing Malware Naskovets Poteroba Koval Lincoln Financial Rakoff 2nd Circuit Second Circuit IRA 401k Forgery Tax RRBDlaw.com Email Netschi Moore Whistleblower Street Sweeper Tran Bharara Facebook Online Bonus TD Ameritrade Hedge Fund Smith Barney Lehman Brothers Scottrade Lehman Chase Hertz Insider Trading Bank of America Elles Bribe Auction Rate Securities Raiding Spam Edward Jones Medicare Dow Schumer Walter Bid Rigging Real Estate Discrimination Wall Street Statutory Disqualification Form U4 Indictment Boyland DOJ Corruption FTC Do Not Call FINRA Arbitration Costa Rica Settlement LIBOR Varney Plea Rule 8210 RRBDlaw Appeal Fowler LPL US Airways MSSB SunTrust Discovery Employment Rosenthal Recruiting Lawyer Trading Platform JP Morgan Employment Tuesday Wrongful Termination WaMu Solicitation REIT Martin Credit Cards Away Account Credit Repair PN Advisor Placement Group Forex Mortgage Private Placement Merrill Exam Lee Borrowing Tax Lien Conversion Felony Misdemeanor Expenses ING OTR Jobs Florida Credit Card Elderly Annuity FNMA TIC DWI Suitability POA Power of Attorney Casino NSF MF Global Counterfeit Preet Bharara Corzine Hacker Prison NASAA FCPA Identity Theft Gold Dell Bar Injunction Deutsche Bank HSBC Eric Stein Wire Fraud CCO Joshua Brown Backstage Wall Street Outside Account Options Telephone Social Media ADA Tax Fraud Retirement OBA Equity Indexed Annuities EIA MetLife Continuing Education Impersonation Annuities ETF Mail Fraud Signatures BitTorrent Crowdfunding Away Accounts Dodd Frank Checks Congress Wife Bank Discretion Restaurant Commodities Private Securities Transaction Offer of Settlement Chase Investment Services Barclays Willful T&P Husband Knight Signature Judgments Undisclosed Settlement Trainee Fee Trust Test TSSB Trustee