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

Bill Singer Forbes Street Sweeper Update
Written: February 17, 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.

 
[^top^]

Previous Entries
October 24, 2014
Voices were raised, a waitress was upset, and large man with hotel bar intervened. Now if that doesn't pique your interest, I might as well get m... Read On
October 23, 2014
What would you think if I told you that the BrokeAndBroker.com Blog was a live performance or that an email was a theatrical correspondence event? Sou... Read On
October 22, 2014
FINRA has this thing about registered representatives engaging in so-called "Outside Business Activities" ("OBA"). Frankly, I don't agree with certain... Read On
October 21, 2014
Stockbroker, Compliance, Legal, and Regulatory JobsEmployment Page BrokeAndBroker.com Jobs#wallstreetjobs @brokeandbrokerNOTICE TO EMPLOYERS... Read On
October 20, 2014
Once upon a time, Wall Street's regulators seemed to view so-called "Failure To Supervise" matters as a last resort -- the final arrow in a quiver. &n... Read On
October 18, 2014
Athena No Goddess Says SEC in HFT SettlementOctober 17, 2014In an effort to cultivate an orderly daily closing, ten minutes before the close at 3:50:0... 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 Chepucavage 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 Raymond James BrokeandBroker.com Expungement Fraud Securities Fraud Outside Business Activity Registered Rep Magazine FOREX BrokerAndBroker.com FBI Banc of America Pro Se 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 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 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 Appeal Fowler LPL Johnson US Airways 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 Away Account Credit Repair PN Advisor Placement Group Forex Mortgage Private Placement Moon Merrill Anderson Exam Lee Borrowing Tax Lien 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 RIA Prison Disclosure NASAA Aguilar FCPA Subway Identity Theft Gold Dell Bar Injunction Bank Deutsche Bank Hospital God HSBC Private Placements Eric Stein Wire Fraud CCO Joshua Brown Backstage Wall Street Obstruction of Justice Reuters Retaliation Variable Annuity Arbitraiton Outside Account Options Telephone Wine Social Media ADA Pacifico Non-Prosecution Agreement Confirm Tax Fraud Retirement OBA Equity Indexed Annuities EIA MetLife Continuing Education 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 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 Judgment Bank Fraud Deceased TSSB Mary Jo White Trustee Motion To Dismiss Frumento Conspiracy 6th Circuit Proctor Rule 3040 Class Action Beneficiary NYAG Schneiderman Gallagher White Self Regulation Short Sale Compromise Website TRO Supervision Vacatur SDNY BrokeAndBroker Bill Singer Piwowar Rule 1122 Article V signature Inside Information VA Regulation SP Customer Rule 3270 OWB Stockbrokers
 
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+