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

Holiday UPDATE From Bill Singer BrokeAndBroker.com Street Sweeper
Written: March 29, 2013

  • SEC Advisory Committee Calls For New Small Issuer Stock Market

    On Sept. 13, 2011, the Securities and Exchange Commission (“SEC”) announced the formation of the Advisory Committee on Small and Emerging Companies (“Advisory Committee”) to focus on interests and priorities of small businesses and smaller public companies; pointedly the mandate was to advise on rules, [...]

  • FBI Warns of Alaska Emailing Hitmen

    It’s not that I ever had an idyllic view of Alaska. I mean, sure, at one time I may have thought that there were polar bears roaming the streets, mixed in with a lot of crusty gold prospectors, and, of course, Sgt. Preston of the Yukon was likely ambling around on patrol with Rex and King. More recently, I have this image of Sarah Palin staring [...]

  • Stockbroker Makes Bad Impression Impersonating Customer's Husband

    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 adjudication of any issue, Wai Keung Man submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. In the [...]

  • Merrill Lynch Selling Away Case Goes Back To The Future

    In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in 2008, and as amended thereafter, Claimants asserted causes of action among which were breaches of contract and fiduciary duty; negligence; and fraud in connection with investments in, among other securities, E*Trade Financial, [...]

  • Broker Suspended For Downloading Customer Files On Flash Drive And Laptop

    Steven Robert Tomlinson entered the financial industry in 1981, and over a 20 year span worked for various firms before joining a Corning , NY credit union in 2001 as a financial advisor in its investment services group –by 2003, he became the group manager.  During the relevant times in this matter, the credit union was [...]

  • Schwab Wins Unfair Competition Damages

    In a Financial Industry Regulatory Authority (“FINRA”) ArbitrationStatement of Claim filed in March 2012, Claimant Charles Schwab sought damages, attorneys’ fees, costs, and the disgorgement of salary and benefits as a result of, among other causes of action cited, breaches of fiduciary duty  and contract, tortious [...]


 
[^top^]

Previous Entries
October 1, 2014
Ah yes, another fraud, another fraud coming out of Florida, another fraud involving inflated promises about a start-up company, and, for extra oomph, ... Read On
September 30, 2014
Stockbroker, Compliance, Legal, and Regulatory JobsEmployment Page BrokeAndBroker.com Jobs#wallstreetjobs @brokeandbrokerNOTICE TO EMPLOYERS... Read On
September 29, 2014
There's something about the movie biz that attracts a lot of people. Hollywood. Box Office Stars. The whole glitz and glamour thing of the red carpet.... Read On
September 27, 2014
IRS Telephone Scam AlertSeptember 26, 2014It seems like every day brings us yet another warning about some telephone scam involving impersonations of ... Read On
September 26, 2014
It seems like every day brings us yet another warning about some telephone scam involving impersonations of government employees.  In the past, f... Read On
September 26, 2014
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or de... Read On
September 25, 2014
In recent years, the BrokeAndBroker.com Blog has published Federal Bureau of Investigation and the Internet Crime Complaint Center ("IC3") warnings ab... Read On
September 25, 2014
Ah yes, the old "loss of confidence" explanation for terminating a Wall Street employee. Now there's a reason for termination that garners more than a... Read On
September 24, 2014
Lawyers often tell their clients to "get it in writing." The old legal joke is that a written contract is worth the paper it's written on. None of whi... 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 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 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 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 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 VA Regulation SP 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+