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by Bill Singer
 
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Veteran Wall Street Lawyer Bill Singer On BrokeAndBroker.com
Written: April 24, 2013

On February 6, 2013, the Securities And Exchange Commission ("SEC") filed a Complaint in federal court in the Northern District of Illinois charging A... Read On

Sometime around April 25, 2004, Nancy Black, Monterey, CA, was on her boat in the Monterey Bay National Marine Sanctuary. Black was in the whale-... Read On

On April 23rd I received the email below, which pitched me to advertise my law practice on the back of a fortune cookie fortune! At first I thoug...Read On

There are times when you truly have to ask yourself about the state of so-called journalism.  It's bad enough when the once venerable Sunday New ... Read On

For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or ... Read On

 
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Previous Entries
April 24, 2015
Today's BrokeAndBroker.com Blog discusses a civil Complaint involving the somewhat esoteric legal issue of "spoliation," which involves the alleged ... Read On
April 22, 2015
On April 22, 2015, the Securities And Exchange Commission announced it was awarding to a compliance professional a whistleblower award of between $1.4... Read On
April 22, 2015
On April 21, 2015, Nvinder Singh Sarao, 36, Hounslow, United Kingdom was named as a Defendant in a criminal Complaint  alleging 1 count... Read On
April 22, 2015
Among the false perceptions that many have is the reliability of so-called official records. If it's something maintained by a regulator, we tend to b... Read On
April 21, 2015
Stockbroker, Compliance, Legal, and Regulatory JobsEmployment Page BrokeAndBroker.com Jobs#wallstreetjobs @brokeandbrokerNOTICE TO EMPLOYERS: Brok... Read On
April 20, 2015
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in March 2013, Claimant Marriott asserted breach of fiduci... Read On
April 18, 2015
US Attorney and SEC Charge Investment Advisor In $20 Million FraudOn April 16, 2015, the United States Attorney for the Southern District of New York ... Read On
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