The Latest From Veteran Wall Street Regulatory Lawyer Bill Singer

January 25, 2013



Credit Card Charges Cancel Career On Wall Street

The AWC alleges that during the relevant period, without RR/IC's permission, Gibbs improperly used the corporate card on 23 occasions to make personal purchases of clothing, groceries, restaurant meals and gasoline totaling $856.84.


Carava allegedly fabricated letters, purporting to show that in response to the subject customer complaint,  information had been requested of RR1 and RR2. These letters were subsequently provided to the SEC and FINRA.


In a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claimfiled in August 2011, Claimant Ameriprise sought the princip... Read On
Featured Listing BrokeAndBroker.com Employment Page Chief Compliance Officer T Capital Funding (Maitland, Florida)... Read On
If sometime between 2001 and 2009 you had met Randy M. Cho, 39, of Newton, MA, and formerly of Chicago,IL, he may well have told you that he was ... Read On
Mary Jo White (C), Federal Attorney for the Southern District of New York, flanked by James Kallstrom (L), New York FBI Director and Howard Safir (R) ... Read On
 Jobs... Read On