An irreverent Wall Street Blog
by Bill Singer

BrokeAndBroker.com Blog by Bill Singer Week In Review

August 9, 2014

FINRA Arbitrators Punt When They Should Have Gone For It
August 8, 2014
Not a lot of folks are fans of FINRA arbitrations. I, for one, do not support mandatory public customer or mandatory intra-industry arbitration before... aRead On
Stockbroker Charged With Outside Business Activity In Advisory Services Deal
August 7, 2014
For some folks, "No" is a nuanced word that presents a challenge. What can I do . . . how can I get them to change that to "Yes"? For others, "No" see... Read On
Tax Liens Earn Stockbroker Disqualification
August 6, 2014
It happens. You run into financial difficulties, even if you're a stockbroker. Sometimes you can't catch up and you don't fully pay your taxes. The IR... Read On
SEC Commissioner Gallagher Advocates Right To Die On Wall Street
August 6, 2014
In keeping with the overall degeneration of collegiality in politics and the Supreme Court, for the past several years that trend has expanded to the ... Read On
EMPLOYMENT TUESDAY at BrokeAndBroker.com
August 5, 2014
Stockbroker, Compliance, Legal, and Regulatory JobsEmployment Page BrokeAndBroker.com Jobs#wallstreetjobs @brokeandbrokerNOTICE TO EMPLOYERS... Read On
JP Morgan Customers Get Two Tickets To Paradise
August 4, 2014
In July 2007, Jeffrey B. McDonald and his wife Shelli A. McDonald opened an investment account with J.P. Morgan Chase Bank (the "Bank") and its affili...Read On

Permalink

Search BrokeAndBroker

Related Topics

Previous Entries

Tag Cloud

Bill Singer BrokeAndBroker FINRA Arbitration AWC SEC BrokeAndBroker.com Expungement Employment Street Sweeper Bill SInger Jobs Wells Fargo OBA U5 Fraud Promissory Note Email U4 Merrill Lynch Wire Fraud Guest Blog UBS Morgan Stanley Elderly EFL Forbes Guest Blogger FBI Defamation CRD PST Suitability Statutory Disqualification Aegis Frumento BrokerAndBroker ALJ Ponzi Citigroup Borrowing Rule 3270 Whistleblower BrokerCheck Supervision Outside Business Activity Bank OIP IRS Form U4 Willful Wachovia Felony DOJ Wrongful Termination NAC SDNY Supreme Court IRA Pro Se Ameriprise Rule 2080 Expenses Mail Fraud Discretion Wife Husband OHO WSP BrokeAndBroker Rule 8210 CCO Insider Trading Checks Conversion Punitive Damages Form U5 Employment Tuesday RIA NASD Madoff Forgery Settlement Discovery Rule 3240 Tax Dodd Frank Raymond James Bankruptcy Credit Card Rule 2010 Frumento Willfulness Rule 3040 Private Securities Transaction Estate JP Morgan LPL Rule 1122 Real Estate Power of Attorney Commissions NYSE Business Expenses Indictment Facebook Edward Jones Outside Business Activities Wall Street Bar 2Cir Annuities Rule 3280 Bank of America Exam Street Legal Impersonation Mortgage Small Firm Margin Spouse Tax Lien Corrective Action Statement ATM Beneficiary Stephen Kohn Wire ETF Promissory Notes Antitrust Case In Point Complaint SRO Offer of Settlement Rule 2510 Tax Liens Trust Schapiro Test Appeal ARS Goldman Sachs Trustee VA Insurance NSF Injunction Employee Forgivable Loan Due Diligence Spouses Misdemeanor Schwab Signatures T&P CFTC Unauthorized Discretion Away Account Conspiracy NASAA Securities Fraud HFT POA Initial Decision PCAOB Chase DCCir Cease And Desist Rule 12206 Lien Signature Annuity OTR Great Recession Fidelity Mandatory Arbitration Money Laundering Flash Crash Barclays Loan RBC Burris NASDAQ Dissent Remand Deutsche Bank Bonus Eligibility Rule Rule 3010 Compliance LOA Rule 4511 Failure to Supervise Credit Cards Undisclosed Settlement Huffington Post Options Variable Annuity email Gallagher Rule 3050 Solicitation Bharara Continuing Education Lehman Brothers Scottrade Identity Theft Unsuitability Liens RRBDLAW.com E*Trade Unfair Competition Fiduciary Hacker MSSB Registered Rep Magazine Stay Disclosure Malware Hacking ACQ brokeandbroker Broker Protocol Forex Divorce Retirement Wedbush Reimbursement Apple employment Letter of Authorization Customer Reg SP Motion to Dismiss Audit JPMorgan Rule 4530 Stockbrokers Annual Compliance Questionnaire FINRA Arbitration Website Registration FINOP Rule 12805 Will Explained Decision Social Media Away Accounts Solicited Variable Annuities Prison Deceased Sexist LIBOR 2nd Circuit Second Circuit Lehman Wey BrokeAndBroker Bill Singer TRO Willfully Trump Net Capital Customer Complaint Sanctions jobs OWB Blockchain arbitration Unsolicited RMBS RRBDlaw.com Time And Price Telephone FOREX China Commission Jurisdiction Crypto Private Securities Transactions Cryptocurrency MetLife 10Cir Self Regulation Confidential Information Private Placement Unauthorized Trading Bureau of Prisons Trading Platform Spoofing Zipper REIT BOP Newman Judgments Plea Hilton Weiner IC3 BrokeAndBroker.com Blog Brummer BrokeandBroker Personal Expenses Arbitraiton Internet Sexism Unjust Enrichment IPO NYAG Stifel Nicolaus Dakota Securities Rule 12200 Obstruction of Justice Rule 2111 Botkin Severance Rakoff DOL Crowdfunding Hedge Fund Protocol Joshua Brown Examination Postponement Securities Industry Commentator Bonds WSPs 9Cir MC-400 Indemnification Testimony Imposter Statute of Limitations Disgorgement Elder Abuse Emails Morgan Keegan Auction Rate Securities Lucia Loans Cheating Rule 3110 Board Check Kiting bill singer Rule 2150 Marijuana Discrimination Stifel Piwowar Lawyer Knight FNMA Mutual Funds ADA Oppenheimer Appointments Clause Banc of America Restaurant Morgan Stanely Ketchum Churning Stanford Woody Allen PNC Compensation SAC Charles Schwab Wire Transfer Waiver Check Reg D Puerto Rico Affinity Fraud Confidential AML Passcode Debit Card MF Global Vacatur Charge Article V Phishing Suspension JOBS Act Executor Confirm Shah Gilani Rule 2081 Conflict Dementia Class Action Aleynikov Sanction Guidelines Retaliation Raiding High Frequency Trading Rule 13805 Due Process Affiliate Reg S-P Wine Regulation SP PN Medicare Hurry Pennystock Khuzami Bandimere Gold Customer Information EIA CEO Fees Rosenthal Recruiting OIG OSHA Bloomberg Bear Stearns White SunTrust Bid Rigging Vietnam Marines Form ADV 6th Circuit Yesenia Guitron Ride the Thunder Slander McDuff Commodities Fraud Trade Secrets Outside Account Widow Marine Corps Self Regulatory Organization Feigenbaum Failure To Supervise Information Federal Reserve Testing Teleconference Rule 12504 Termination Public Interest Charity Rule 4513 Corruption Statutory Disqualification Committee Sales Assistant USERRA Rule 9552 Guitron Bank Fraud TOD Written Supervisory Procedures Membership Continuance Hearing Smith Barney Whistleblowing Unauthorized Practice of Law Moon Side Bar Embezzlement Mutual Fund Counterclaim Consent Order Concentration Pennystocks Online Vault TD Ameritrade CRS Leveraged ETF ING Rule 3030 Statement of Corrective Action Bitcoin Employment Agreement Disability Margin Call FAA Manifest Disregard Unregistered Government Accountability Project Mother 401k Poteroba PAQ Aguilar HSBC Laptop Private Placements Johnny Burris Parking Kon Penson Morgan Stanley Smith Barney CE Eligibility Cannabis Accounting Small Firm Governor Corzine Chief Compliance Officer Whitman Casino NPR Day Trading TSSB Series 7 Finder\'s Fee Deferred Compensation Marketplace CNBC SP BrokeAndbroker Verbal Discretion Layering Rule 2370 expungement Rule 1031 Google Stipulated Award Timban Thain Commissioner Stein Stop Loss Judgment TCR Motion Stockbroker Department of Justice Red Flags TheBlot Negligence Scholander 40 Act Joint Account Non Solicitation Constitution RRBDlaw Rule 2210 Tax Fraud SIFMA Control Person CGMI FINRA AWC David Sobel Settling Away Excessive Trading Administrative Remedies 4Cir Broke And Broker Rule 13200 David Lerner Nietzsche Hospital Inside Information Third Party Vendor CPA Resignation Over Concentration Robert Cook Elles Oral Discretion Elder Law Sexual Discrimination Sharemaster 9/11 First Amendment Attorneys Fees Equity Indexed Annuities Dell Libel Backstage Wall Street Guest Bloggers Schneiderman Escrow Wanger FCI TIC Medical Condition Turnover Rule 12212 Star Wars Subpoena Credit Suisse Rule 21F FOCUS Research OCIE Counterfeit Regulation FCI Beaumont Fine Reverse Life Insurance Christian Stanley Moore Netschi Do Not Call Money Market Chase Investment Services CD Arrest Motion to Vacate BD Withdrawals Taft Correctional Institution signature Tortious Interference BATS Kiting Commodities Non-Solicitation Password Obstruction Client Information OWWP IAR ACH Inability to Pay Chiasson Probate Jennifer Tarr Florida 11th Circuit Investment Adviser Investor Alert Rule 9216 Scottsdale Outside Accounts Electronic Communications Fifth Amendment Argentina Board of Governors Fowler Rory Flynn BrokerAndBroker.com Standing Circuit Court Congress VXX WB-APP Cold Spring Advisory Group Privilege 401(k) Sexual Harassment Unsuitable Lincoln Financial Amazon Female WaMu Inmate CMO 1Cir Wells Fargo Advisors Johnson iPhone Supervisor Dinner Stock Promotion Criminal Cellphone US Airways JPM Short Sale Compromise Reverse Merger Scam Wires Capital Gains EDNY BrokeandBroker.com 8210 Molchatsky GAP Taxes Transfer Mary Schapiro Disparate Treatment 10b-5 ADR Coin YouTube Pruco Initials Romer Nasdaq FINRA Board Conflicts Turbeville Texas State Securities Board MBS Clayton Impersonator Prime Bank BBVA Service FCPA BitTorrent IM Broy House Financial Services Obamacare Well Managed Portfolio Life Settlement Life Insurance McCartney Springsteen Jon Corzine Checking Goble SD Preet Bharara Lexicon Texting Subway Merill Lynch Reuters Women Game of Thrones Sears Production Summary Judgment Test Center Branch Manager Lek Respondeat Superior Section 206 Undertaking Eric Stein Trader God CDO Non-Prosecution Agreement Elon Musk National Securities Promoter Currency Pacifico Exhaustion Doctrine Oilpro AXA Kent Bezos Cherry Picking Newbridge FDA Regulation S-P Lee Death Anderson Compliance Officer Mary Jo White Merger Bill Singer BrokeAndBroker Trading Father Theft BIll Singer State Farm Attorneys\' Fees Merrill Confidential Customer Information Credit Repair Martin Bank Guarantee Customer Files Blank Forms Proctor Gabelli S&P Motion To Dismiss Grievance Fourth Amendment Advisor Placement Group Martoma Janney Montgomery Scott Data Undercover Trainee Fee Laser Expense MSPB BrokeAndBroke Fiero Practice Sale Wages DWI RRBDLAW Fines Mattera Flash Drive SEC Rules of Practice NFA Office of Special Counsel Unauthorized Trades Brokeandbroker.com UIT Evidence Silver LLC Kennedy Bill singer Diamonds NML Willfull Wire Transfers Stephen A. Kohn Permanent Bar Cybercrime AIG Customers Rule 3210 SIPC Funds ADEA FMLA Tennis Court Bob Dylan Reform Pension Salman Lewis Carroll Liquidation Rule 2330 Retired Woman With Cane Galleon Rules of Practice Boyland Payroll Chase Bank Travel NYG Capital FNI Media FINRA Small Firm RICO Retroactive Retroactive Bar Enforcement Self Reporting Securities and Exchange Commission Hugh Hewitt Bartko Collateral Bar Municipal Advisor NRSRO Hertz PIABA Bribe Newport Coast Securities Kierkegaard Solomon Powell Spam Reasonable Fiduciary Duty Rule 3310 Expert Witness Quasi Governmental ALJ Grimes Skimming Spoliation Naskovets Reason for Termination Rule 420 Exotic ETF Nationwide Koval Compliance Questionnaire Tipper Immunity Sterne Agee Puts Altered Records Disciplinary History Executrix Finra Tippee Walter Dow Witness Tampering Diabetes Kenneth Starr Sarbanes Oxley Selling Away Murray Schumer Constructive Discharge AWC. FINRA VIX Apartment Risk false statements Leveraged ETFs Relevant Ethics Books and Records Collateral Costa Rica Excel Microcap Countrywide Lawyers Baby Boomers Sharing Agreement Tran Meals Offset Work Product Falsification Personal Information In House Counsel Varney 17a-5 9th Circuit Financial Disclosure Elder Fraud Annual Audit Chevron Books And Records Statute of Limitation 1099 Motion to Compel Outside Counsel Mistake AAA Sex Fee FTC