An irreverent Wall Street Blog
by Bill Singer

BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW

August 2, 2014

Before you read this week's re-cap of BrokeAndBroker.com Blog, watch this video. The outcome of this poker hand underscores that there are no guarantees in life . . . even when ya got pocket Aces!


Fidelity Employees Caught In Expense Scams
August 1, 2014
Sometimes it's strictly business. Sometimes it is personal. The thing is, when you're submitting a reimbursement request to your employer and claiming... Read On
Raymond James Settlement Is Elusive Victory For Former Employee
July 31, 2014
Winston Churchill sagely observed that the "problems of victory are more agreeable than those of defeat, but they are no less difficult." Speak to eno...Read On
Sharknado 2: The Second One.An Epic Cinematic Event. A People Bringing Together Spectacle
July 30, 2014
Tonight there's going to be a BIG dispute in the Singer family household. Sometime around 9 p.m. there is a world premiere of what I consider a cutt...Read On
UPDATE: FINRA Arbitrators Award Punitive Damages For Fraud, Malice, And Bad Faith
July 30, 2014
This is an UPDATE of "FINRA Arbitrators Award Punitive Damages For Fraud, Malice, And Bad Faith" (BrokeAndBroker Blog, February 13, 2014)In his Second... Read On
Chase Settles Termination Dispute With Revised U5 And Cash
July 30, 2014
Wall Street terminations often turn into bloody messes. Not only is there the anger over the causes prompting the end of the employee-employer relatio...Read On
EMPLOYMENT TUESDAY at BrokeAndBroker.com
July 29, 2014
Stockbroker, Compliance, Legal, and Regulatory Jobs. Employment Page BrokeAndBroker.com Jobs #wallstreetjobs @brokeandbroker... Read On
Double Standard For Federal Prosecution Of Bank Fraud
July 28, 2014
Funny, isn't it? You know, the way double standards work in our society. Take, for example, virtually identical crimes or torts.In the first set of fa... Read On



Permalink

Search BrokeAndBroker

Related Topics

Previous Entries

Tag Cloud

Bill Singer BrokeAndBroker FINRA Arbitration AWC SEC BrokeAndBroker.com Employment Expungement Street Sweeper Jobs Bill SInger Fraud Wells Fargo Promissory Note OBA Email Wire Fraud U5 Forbes FBI U4 Merrill Lynch UBS EFL Elderly ALJ Ponzi Citigroup Borrowing Outside Business Activity Morgan Stanley OIP Statutory Disqualification Suitability PST Rule 3270 Defamation IRS Wachovia Whistleblower Mail Fraud Bank Form U4 Supreme Court Felony BrokerCheck Wrongful Termination DOJ Employment Tuesday Supervision Insider Trading BrokerAndBroker Madoff SDNY Expenses Bankruptcy NAC Checks Forgery Form U5 Raymond James Conversion CCO CRD Rule 3040 Dodd Frank Willful RIA Credit Card Indictment IRA Punitive Damages Street Legal Private Securities Transaction Real Estate Guest Blog Exam Rule 3240 Ameriprise Facebook Settlement Case In Point LPL Wall Street Bar Bank of America Commissions Schapiro JP Morgan Tax Lien ATM Power of Attorney Impersonation Rule 2010 Antitrust NYSE WSP Annuities Goldman Sachs Rule 8210 Discovery Wire Wife Discretion Mortgage OHO Appeal Schwab Outside Business Activities Test Promissory Notes Securities Fraud ETF NASAA Business Expenses Tax Liens Employee Forgivable Loan Rule 1122 Offer of Settlement SRO Tax Misdemeanor Husband Spouse Stephen Kohn NASD ARS NSF Conspiracy Estate Edward Jones Cease And Desist 2Cir Chase Pro Se Signature Initial Decision Due Diligence LOA HFT Lien Money Laundering Small Firm Loan Signatures Flash Crash Huffington Post Registered Rep Magazine Liens MSSB POA Fidelity Trust Corrective Action Statement Complaint NASDAQ Bharara Credit Cards Trustee Gallagher Hacker RRBDLAW.com Barclays FINRA Arbitration Continuing Education RBC Rule 2080 Injunction VA DCCir E*Trade Malware email Bonus Forex Lehman Brothers Letter of Authorization employment Annuity Away Account CFTC Identity Theft jobs Wedbush Mandatory Arbitration Deutsche Bank PCAOB Annual Compliance Questionnaire arbitration Margin Remand 2nd Circuit Beneficiary Variable Annuity Second Circuit OTR LIBOR Solicitation Hacking IC3 Social Media Telephone RRBDlaw.com BOP Fiduciary Away Accounts Private Placement Judgments JPMorgan Trading Platform Reg SP Rule 3010 FOREX Failure to Supervise Wey Undisclosed Settlement Bureau of Prisons Prison Stockbrokers Website Willfulness Cheating RMBS Obstruction of Justice BrokeAndBroker Bill Singer Compliance Insurance Piwowar NYAG Self Regulation Scottrade MetLife Private Securities Transactions Great Recession Plea Registration Will Apple T&P Rule 3050 Audit Knight Unfair Competition OWB Unauthorized Trading Rule 2510 Rakoff Eligibility Rule Hedge Fund Dissent 10Cir Auction Rate Securities Net Capital Retirement brokeandbroker Internet China Options Vacatur Divorce Wine Confidential Rule 12206 Reg D Shah Gilani Joshua Brown Willfully Affinity Fraud Retaliation PN Variable Annuities Customer Complaint Hurry Discrimination Regulation SP Commission EIA Solicited Brummer Phishing TRO Woody Allen SAC Lehman Medicare Rule 3280 Examination Article V Raiding Banc of America IAR ADA Ketchum Aleynikov Unauthorized Discretion Gold Passcode Guest Blogger Check Kiting Confidential Information Khuzami Morgan Keegan MF Global Crowdfunding Protocol IPO Smith Barney Pennystocks Bandimere Spouses Private Placements Corzine Deferred Compensation Kon Newman Lucia Disclosure Fees Aguilar Charles Schwab Reg S-P Executor NPR Morgan Stanley Smith Barney Poteroba Finder\'s Fee HSBC Laptop Marketplace Unregistered Sales Assistant Side Bar Online White Unsolicited Rule 12805 CE USERRA Bloomberg Confirm Pennystock PNC REIT Failure To Supervise Guest Bloggers Rosenthal Recruiting Embezzlement Information Time And Price Termination Check Sexism ING Bear Stearns FINOP Broker Protocol Bank Fraud OIG Vault Sexist Corruption bill singer Customer McDuff BrokeAndBroker Bid Rigging Charge Debit Card Morgan Stanely Series 7 BrokeandBroker Casino Rule 2111 6th Circuit Waiver Rule 4511 Disgorgement Stanford Eligibility Parking Day Trading Penson High Frequency Trading Wire Transfer Chief Compliance Officer Employment Agreement JOBS Act Broke And Broker Fowler Rule 4530 401(k) Motion to Dismiss Mutual Fund Charity Oppenheimer SP FNMA Small Firm Governor 40 Act AML Hospital Personal Expenses Testimony Rule 2370 Moore Netschi FCI TIC Marine Corps BrokerAndBroker.com RRBDlaw Rule 3030 Conflict 9Cir Backstage Wall Street Customer Information Administrative Remedies Ride the Thunder Equity Indexed Annuities TSSB Florida Reimbursement Investment Adviser Stockbroker Botkin Do Not Call Hearing Sanction Guidelines Class Action Burris Layering Female Imposter Affiliate Unauthorized Practice of Law OCIE Marines Disability Judgment Red Flags Testing Restaurant Deceased Severance Vietnam Non-Solicitation Scottsdale David Sobel Registered Investment Advisor FCI Beaumont Chase Investment Services TheBlot Consent Order Inside Information Commodities Fraud ACQ Timban Outside Account CPA Fifth Amendment 11th Circuit Third Party Vendor Due Process Board Client Information Lincoln Financial Tax Fraud Credit Suisse Stay Lawyer FINRA AWC Christian Stanley Taft Correctional Institution Loans Schneiderman Reverse Life Insurance WaMu Gusrae Kaplan Frumento Explained Decision Sanctions Leveraged ETF Argentina Unjust Enrichment Elles CNBC Department of Justice Dell Scholander Compensation 401k Stifel Appointments Clause Written Supervisory Procedures Rule 9216 CGMI Moon Spoofing Statute of Limitations Rule 1031 Teleconference NML Investor Alert House Financial Services Dow Diabetes Wanger Sexual Discrimination Expense Pacifico CEO Dementia Bonds Boyland Retired Woman With Cane BATS Rule 13200 DWI BitTorrent Fines Fiero Disparate Treatment Spam FDA Thain Lek Exhaustion Doctrine Negligence FMLA Schumer Tennis Court Google Silver Non-Prosecution Agreement Form ADV BrokeAndBroke Evidence Permanent Bar Rule 9552 Elder Abuse BrokeandBroker.com Reverse Merger CRS Books and Records Obstruction Advisor Placement Group false statements Summary Judgment Reuters JPM Galleon Johnson Anderson Cellphone Attorneys\' Fees Criminal Merrill US Airways Falsification FOCUS Obamacare Bank Guarantee Motion To Dismiss Mary Jo White Resignation Mutual Funds Arbitraiton Aegis Frumento Settling Away Elder Fraud Death Arrest Sharing Agreement Credit Repair SunTrust Martin Payroll signature Gabelli Commodities RRBDLAW Personal Information Customer Files expungement Jurisdiction Test Center Broy 1Cir Costa Rica Flash Drive David Lerner Wages Cybercrime Initials Spoliation DOL FTC Varney Compliance Questionnaire Postponement Lee Proctor 8210 Trader McCartney Unsuitability Books And Records Fee Commissioner Stein Widow Rule 12200 AXA Money Market Theft Sexual Harassment Bill Singer BrokeAndBroker Enforcement Walter BBVA Checking Attorneys Fees Motion Subway Selling Away 9th Circuit iPhone God Kenneth Starr Counterfeit AIG Nasdaq Koval Accounting Short Sale Executrix NYG Capital Retroactive Escrow Tortious Interference Kiting Reform Hertz Compromise Joint Account Undercover Euro Leveraged ETFs Immunity Texas State Securities Board Data 1099 Inmate Congress Rule 2081 Impersonator Counterclaim Outside Accounts TD Ameritrade Preet Bharara SIPC Kennedy VXX Mother Electronic Communications Trainee Fee Fiduciary Duty Branch Manager Password VIX Retroactive Bar FNI Media Stock Promotion CDO Bribe Skimming Altered Records Collateral Bar Brokeandbroker.com Naskovets FCPA FINRA Board Andrew Wels Wells Fargo Advisors Tran Goble Investment Advisor Undertaking Circuit Court Countrywide Public Interest Self Regulatory Organization Prime Bank Laser Chiasson Bartko Murray Practice Sale Eric Stein Research EDNY NRSRO Mattera Municipal Advisor