Weekend UPDATE From Forbes Street Sweeper Columnist Bill Singer

February 14, 2013

For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an …Forbes · ByBill Singer · 47 minutes ago


It's not everyday that you find a Federal Bureau of Investigation press release with the tantalizing and provocative title: "Looking for Love? Beware of Online Dating Scams" - and when you do, well, hey, ya gotta read …Forbes · ByBill Singer · 54 minutes ago

Ameriprise Sort Of Wins FINRA Promissory Note Arbitration Bill Singer Contributor Morgan Stanley Wins Promissory Note Case Against Former Broker Bill Singer Contributor Lehman Brothers Loses Nearly $500,000 …
Forbes · ByBill Singer · 20 hours ago

In 2010, the Financial Industry Regulatory Authority ("FINRA") investigated its member firm Marquis Financial Services, Inc., Marquis' associated person/officer/control person Gregory Evan Goldstein, and the …Forbes · ByBill Singer · 3 hours ago

(D) the lending arrangement is based on a personal relationship with the customer, such that the loan would not have been solicited, offered, or given had the customer and the registered person not maintained a relationship outside of the broker-customer ...Forbes · ByBill Singer · 1 day ago
LPL Broker Tripped Up By Undisclosed IRS Tax Lien Bill Singer Contributor Undisclosed Tax Liens And State Regulatory Action Trip Up Stockbroker Bill Singer Contributor Page 2 of 2 I call this issues a regulatory speed trap because it continues to trip up ...Forbes · ByBill Singer · 2/12/2013
Kink In Merrill Lynch ARMOR Loses $Million Customer Arbitration Bill Singer Contributor UBS Broker Wins Expungement in FINRA Customer Arbitration Citing Loss of Potential Gains Bill Singer Contributor Following …Forbes · ByBill Singer · 2/11/2013
In a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in March 2012, Claimant Gillman Family Trust alleged negligence; breach of fiduciary duty; negligent supervision; breach of contract; and, fraud in connection ...Forbes · ByBill Singer · 2/11/2013
How nice that the good folks at the Department of Justice are getting around to charging the good folks at McGraw-Hill and Standard & Poor's for that untidy mess involving all those years of ratings. Not that anyone in …Forbes · ByBill Singer · 2/8/2013
Stockbroker Undone By Email Trail Of Undisclosed Customer Settlement Bill Singer Contributor FINRA Punishes Customer Loss Reimbursement By Stockbroker Bill Singer Contributor MetLife Securities has been a FINRA member firm since 1983.Forbes · ByBill Singer · 2/8/2013
Here's a little tidbit that you might not know: The FBI does not send unsolicited e-mail. Now, how do I know that? Simple - those are the opening lines of a February 6, 2013, press release issued by the Federal …Forbes · ByBill Singer · 2/7/2013
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an …Forbes · ByBill Singer · 2/7/2013
In a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in November 2011, Claimant trustees asserted causes of action, among which were, breaches of contract and of fiduciary duty …Forbes



Watch the three pilot episodes of "SIDE BAR WITH BILL SINGER," on Reuters Insider:

The Brave And Scary New World of HFT
Featuring Shah Gilani

The SEC's New Bounty Program For Whistleblowers
Featuring Aegis Frumento, Esq.

Dodd Frank And the CFTC's New Swap Regulations
Featuring Professor Ronald Filler, Esq.