An irreverent Wall Street Blog
by Bill Singer
 
Join BrokeAndBroker blog on Facebook  Follow the BrokeAndBroker blog on Twitter  Connect with BrokeAndBroker on LinkedIn  Join Bill Singer on Google+  Subscribe to RSS Feed

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




 
[^top^]

Previous Entries
May 30, 2015
Hundreds of Thousands Defrauded In $50 Million Text Messaging ScamOn May 28, 2015, the United States Attorney for the Southern District unsealed a cri... Read On
May 29, 2015
On May 28, 2015, the United States Attorney for the Southern District unsealed a criminal Complaint charging Defendants Lin Miao, Yong Jason Lee a/k/a... Read On
May 29, 2015
If there is a shortcut through the forest of continuing education, a detour around career qualification exams, or any way in which to avoid and evade ... Read On
May 28, 2015
Ever the wordsmith and societal critic, author Charles Dickens is credited with saying that "charity begins at home and justice begins next door." Fra... Read On
May 27, 2015
If Hillary Clinton could use a personal server for her emails, why can't a registered representative use an AOL email account? Then there's the whole ... Read On
May 26, 2015
Stockbroker, Compliance, Legal, and Regulatory JobsEmployment Page BrokeAndBroker.com Jobs#wallstreetjobs @brokeandbrokerNOTICE TO EMPLOYERS: Brok... Read On
May 23, 2015
SEC Commissioner Stein Stands Alone In Her Defense Of The Investing Public And IndustryOne, and only one, Securities and Exchange Commissioner got it ... Read On
BrokeAndBroker.com Job Search


Related Topics
Tag Cloud
Internet FINRA Bear Stearns Bloomberg SEC NASD NYSE Money Laundering Due Diligence Waiver Forbes China Broy Woody Allen Madoff NAC NPR Marketplace Stanford UBS Ketchum Antitrust NASDAQ RRBDLAW Schapiro Bill Singer BrokerAndBroker USERRA Brokeandbroker.com Morgan Keegan Arbitration Counterclaim BrokeAndBroker.com Khuzami BrokeAndBroker Aleynikov Goldman Sachs brokeandbroker Promissory Note U4 Bill SInger EFL CFTC Huffington Post Flash Crash arbitration RBC RRBDLAW.com Ponzi Affinity Fraud Wachovia Criminal Raymond James BrokeandBroker.com Expungement Fraud Securities Fraud Outside Business Activity Registered Rep Magazine FOREX BrokerAndBroker.com FBI Banc of America Pro Se PCAOB Supreme Court Morgan Stanley Smith Barney E*Trade Margin email Galleon 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 Day Trading Ameriprise Commissions Spouse Schwab Commission CRD Kenneth Starr IRS CNBC Complaint ATM Skimming Hacking Phishing Malware Naskovets Poteroba Koval Lincoln Financial Selling Away Outside Business Activities Rakoff 2nd Circuit Second Circuit IRA 401k Forgery Tax RRBDlaw.com Email Netschi Moore Whistleblower Street Sweeper Countrywide Tran Bharara Facebook Online Severance Bonus Eligibility Rule TD Ameritrade Hedge Fund SAC 1099 Smith Barney Lehman Brothers SIPC IC3 Scottrade Lehman JPMorgan Chase Hertz Insider Trading Bank of America Department of Justice Elles Bribe Auction Rate Securities Raiding Spam Edward Jones Medicare Diabetes Dow Schumer Thain Walter Bid Rigging Real Estate Discrimination Wall Street Statutory Disqualification Form U4 Form U5 Indictment Boyland DOJ Corruption bill singer FTC Do Not Call FINRA Arbitration Costa Rica Settlement LIBOR Varney Plea Rule 8210 Eligibility RRBDlaw 8210 Appeal Fowler LPL Johnson Cellphone US Airways JPM BrokeandBroker Reg D MSSB Vault Loan SunTrust Discovery Employment Rosenthal Recruiting Lawyer Trading Platform JP Morgan Employment Tuesday Wrongful Termination Bank Guarantee WaMu Solicitation REIT Martin Credit Cards Rule 3050 Away Account Credit Repair PN Advisor Placement Group Fifth Amendment Forex Mortgage Private Placement Moon CGMI Failure to Supervise Merrill Anderson Exam Lee Borrowing Tax Lien Charity Conversion Oppenheimer Wedbush Felony Misdemeanor Expenses ING Lien OTR Estate Jobs Florida Credit Card Elderly Flash Drive Annuity Expense Reimbursement FNMA BrokeAndBroke TIC DWI Promissory Notes Suitability Will POA Power of Attorney Casino NSF MF Global Counterfeit Preet Bharara Corzine Hacker Deferred Compensation RIA Prison Disclosure NASAA Aguilar FCPA Subway Testimony Identity Theft Gold Dell Bar Injunction Bank Deutsche Bank Hospital Due Process God HSBC Private Placements Eric Stein Wire Fraud FINOP CCO Compliance Audit Joshua Brown Backstage Wall Street Obstruction of Justice Reuters Retaliation Variable Annuity Arbitraiton Outside Account Options Telephone Wine Series 7 Social Media ADA Pacifico Non-Prosecution Agreement Confirm Tax Fraud Retirement OBA Equity Indexed Annuities EIA Disability MetLife Continuing Education Cheating OIP Tax Liens Willful CE Unregistered Impersonation Annuities BBVA Business Expenses ETF JOBS Act Mail Fraud Parking Variable Annuities Signatures BitTorrent Impersonator Wire Transfer Wire Crowdfunding Nasdaq Away Accounts WSP Laptop Dodd Frank Checks RMBS AML PST Solicited Unsolicited Congress SRO Password Wife Discretion Non-Solicitation Restaurant Commodities Private Securities Transaction Offer of Settlement Money Market employment jobs Great Recession Chase Investment Services Arrest Barclays Liens Failure To Supervise Apple Time And Price T&P Willfully Husband Letter of Authorization LOA Sexism Debit Card Knight Test Practice Sale Unfair Competition Signature Judgments Undisclosed Settlement Trainee Fee Trust Laser Side Bar Mattera Female Sales Assistant Kennedy Charge Sexist NML Argentina Embezzlement Silver Investor Alert Evidence Judgment Bank Fraud Deceased Bill Singer BrokeAndBroker TSSB OHO Leveraged ETF Mary Jo White Trustee Motion To Dismiss Frumento Conspiracy 6th Circuit Proctor Commissioner Stein Rule 3040 Customer Files Class Action Beneficiary NYAG Schneiderman 11th Circuit Insurance Gallagher White Self Regulation Short Sale Compromise Website Rule 2010 Check TRO Supervision Vacatur Remand SDNY Rule 12206 BrokeAndBroker Bill Singer Piwowar Stifel Rule 1122 Article V signature Confidential Inside Information Reg SP VA Regulation SP Fees Cease And Desist Customer Examination Rule 3270 Rule 3240 Annual Compliance Questionnaire OWB 2Cir Red Flags Payroll Stockbrokers ALJ Cybercrime Loans BrokerCheck Altered Records
 
Email Bill Singer Connect with Bill Singer on Facebook Follow Bill Singer on Twitter Link up with Bill Singer on LinkedIn Join Bill Singer on Google+