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by Bill Singer
 
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Street Sweeper Articles by Bill Singer, Veteran Wall Street Lawyer
Written: January 19, 2013

  1. IRA Customers Sue Morgan Stanley Over KFN Tax Bill

    Forbes-by Bill Singer-Jan 14, 2013
    In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in November 2011 and thereafter amended, ...
  2. Customers Sue Wells Fargo Over Leveraged ETF Trades

    Forbes-by Bill Singer-Jan 16, 2013
    In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in February 2011, the Moshars asserted, among other ...
  3. Barred Stockbroker Barred Again For Wire Transfers From Elderly ...

    Forbes-by Bill Singer-Jan 17, 2013
    This 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 ...
  4. Wells Fargo Branch Manager Barred Over iPod Purchases

    Forbes-by Bill Singer-Jan 15, 2013
    Denise Olson entered the securities industry in 1991 and by 2004 had joined Wachovia Securities, Inc. (later known as Wells Fargo Advisors, ...
  5. Citigroup Broker Exonerated In $2.5 Million Great Recession Case

    Forbes-by Bill Singer-Jan 15, 2013
    In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in December 2009, among the causes of action ...
  6. Tullet Prebon's $16 Million Raiding Case Broadside Against BGC ...

    Forbes-by Bill Singer-Jan 14, 2013
    In the Matter of the FINRA Arbitration Between Tullett Prebon Financial Services LLC and Tullett Prebon Americas Corp., Claimants, vs.
  7. Till Death Do Us Part Stumps Stockbroker

    Forbes-by Bill Singer-Jan 11, 2013
    For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting ...
  8. Raymond James Wrongful Discharge Case Is A Minefield For ...

    Forbes-by Bill Singer-Jan 10, 2013
  9. Feds Indict Breathtaking Tax Cheat

    Forbes-by Bill Singer-Jan 8, 2013
  10. Former Morgan Stanley Branch Manager Litigates Hobson's Choice

    Forbes-by Bill Singer-Jan 9, 2013

    FINRA Taping Rule Punted By Federal Courts

    Forbes-Jan 4, 2013

    Bogus Bambino Baseball Glove Scam

    Forbes-by Bill Singer-Dec 21, 2012

    David Whatshisname Pulls A No-Show In Federal Court Sentencing

    Forbes-Dec 20, 2012

    Veteran Stockbroker Fined And Suspended For Personal ...

    Forbes-by Bill Singer-Jan 8, 2013




 
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Previous Entries
July 24, 2014
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in May 2013, public customer Claimant Meadows asserted cau... Read On
July 23, 2014
This one ain't pretty and there's sure as hell nothing here to laugh about. In 2012, a stockbroker finds himself charged with felony child molestation... Read On
July 22, 2014
Stockbroker, Compliance, Legal, and Regulatory JobsEmployment Page BrokeAndBroker.com Jobs#wallstreetjobs @brokeandbrokerNOTICE TO EMPLOYERS... Read On
July 21, 2014
The customer says: Listen, I'm on the road and can't do it. Go ahead and sign my name. It's okay. The stockbroker is uneasy and asks: You su... Read On
July 19, 2014
Stockbroker Whiffs On Three Email StrikesJuly 18, 2014How nice. How convenient. Customers can actually send emails to their brokerage firms and ask fo... Read On
July 18, 2014
How nice. How convenient. Customers can actually send emails to their brokerage firms and ask for all sorts of things. Gone are the days of voicemail ... Read On
July 18, 2014
It's not always about the fireworks at trial.  Sometimes, the pyrotechnics of the motion practice leading up to the first day of testimony determ... Read On
July 17, 2014
Some registered persons have trouble making ends meet, even with a full-time job as a stockbroker. Other folks just want more -- and they seek outside... Read On
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