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by Bill Singer
 
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Weekend UPDATE From Forbes Street Sweeper Columnist Bill Singer
Written: 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



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