An irreverent Wall Street Blog
by Bill Singer

Live from Columbus's Fourth Ship, the Pina Colada: Bill Singer Esq Reports on Wall Street

October 8, 2018


Today is the federal holiday of Columbus Day, which is sort of a day off for parts of Wall Street but not for the entire market. The BrokeAndBroker.com Blog's publisher Bill Singer has been caught up in the spirit of the holiday and will be reporting back to us from behind the Nina, the Pinta, and the Santa Maria -- Bill is on the lesser known Pina Colada. While Bill is covering today's holiday festivities, he has sent us his daily dispatch from his "Securities Industry Commentator," fast becoming, in Bill's own words, an amazing, riveting, and succinctly parsed legal, regulatory, and compliance feed about all sorts of intriguing matters at the Department of Justice, the SEC, the CFTC, FINRA, and other prosecutors and regulators both known and unknown. Below is a sampling of the eclectic nature of the Securities Industry Commentator's weekday feed:

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Kohn NYSE Credit Card Annuities Wall Street Outside Business Activities Trump Private Securities Transaction Commissions Edward Jones 2Cir Real Estate Rule 3280 Margin Power of Attorney Corrective Action Statement Indictment Promissory Notes Impersonation Facebook Tax Liens Insurance Exam Injunction Street Legal Schwab Spouse Beneficiary SRO Mortgage ETF Antitrust Tax Lien Bank of America ATM TRO Misdemeanor Offer of Settlement Remand Rule 2510 Rule 12206 OTR Trust Wire Test Options Complaint Case In Point Signature Initial Decision Away Account Annuity VA Barclays Schapiro CFTC POA Lien ARS Appeal Crypto Employee Forgivable Loan NSF ACQ Trustee T&P Goldman Sachs Blockchain Due Diligence Loan Securities Fraud Spouses NASDAQ COVID Bonus Liens Eligibility Rule Jurisdiction Signatures Sanctions PCAOB Money Laundering Unauthorized Discretion HFT RBC Conspiracy Deutsche Bank DCCir NASAA Rule 4530 Mandatory Arbitration E*Trade Great Recession email Fidelity Compliance Dissent Rule 4511 Failure to Supervise Motion to Dismiss Cease And Desist Stay Board Chase Flash Crash Burris Credit Cards Fiduciary Undisclosed Settlement Rule 3010 Broker Protocol Huffington Post FAA Explained Decision OWB Customer Vacatur Solicitation Scottrade LOA Continuing Education 9Cir Retaliation Severance Variable Annuity MSSB Coronavirus brokeandbroker Deceased Disgorgement Unsuitability Rule 3050 Hacking Malware Cryptocurrency Rule 12200 JPMorgan Willfully Unfair Competition Bharara Divorce Disclosure Reg SP Lehman Brothers Unauthorized Trading Identity Theft RRBDLAW.com arbitration Hacker Gallagher Discrimination Registered Rep Magazine Letter of Authorization Audit Personal Expenses Wey TD Ameritrade Sexism Sexist Stifel Manifest Disregard Spoofing REIT 10Cir Apple employment Website Stockbrokers Wedbush Retirement Variable Annuities Motion to Vacate Bitcoin Lucia Annual Compliance Questionnaire Customer Complaint Reimbursement FINRA Arbitration Forex jobs Rule 12805 BrokeAndBroker Bill Singer Statute of Limitations Lehman LIBOR Elder Abuse RMBS Away Accounts Solicited Self Regulation Postponement Social Media Registration Net Capital Confidential Information Second Circuit Commission 2nd Circuit FINOP Prison Will Class Action Brummer Internet Arbitraiton Private Securities Transactions Waiver Board of Governors MetLife Imposter Indemnification Charles Schwab BrokeandBroker Hedge Fund FOREX Unsolicited BOP Rule 2150 IC3 RRBDlaw.com BrokeAndBroker.com Blog Telephone Private Placement bill singer Bonds Fees Loans Zipper Kokesh Rule 3110 Plea Time And Price Debit Card Sanction Guidelines Bureau of Prisons Newman Marijuana Examination Judgments MC-400 Due Process Unjust Enrichment Rule 2111 China Hilton Weiner Trading Platform Lawyer Testimony Cheating Joshua Brown CNBC Obstruction of Justice Auction Rate Securities Rakoff Check Kiting Confirm ADA FNMA Compensation Credit Suisse Botkin Charge Morgan Keegan Counterclaim OSHA Motion to Confirm Rule 9552 PNC Protocol Knight WSPs TOD Piwowar Puerto Rico IPO NYAG Regulation SP Widow CRS BD Emails Dakota Securities AML CPA Employment Agreement Crowdfunding Small Firm Governor CE Public Interest Bear Stearns Mutual Funds JOBS Act IAR FINRA Board Stifel Nicolaus Suspension DOL Medicare expungement Unsuitable Affinity Fraud Concentration ING TSSB Bandimere Raiding Appointments Clause Customer Information Standing Passcode Rule 4513 Bloomberg Banc of America MF Global Rule 13200 Confidential Oppenheimer Non Solicitation Stanford Feigenbaum Rule 2081 Ketchum Exhaustion of Administrative Remedies Rule 13805 TheBlot Woody Allen VIX Immunity SAC PN Rosenthal Recruiting Elder Fraud Reg D Khuzami Charity Termination OIG USERRA Rule 12504 Cannabis Aleynikov Executor Series 7 Churning Wine Bank Fraud Reg S-P Hurry Broke And Broker 4Cir Whistleblowing Wire Transfer Embezzlement Pennystock Check Restaurant Tortious Interference Phishing Morgan Stanely Sales Assistant Inability to Pay Conflict Circuit Court Article V Affiliate Shah Gilani High Frequency Trading Mother Day Trading CEO EIA Rule 12904 Gold Dementia Vault 3Cir PAQ Unregistered Corruption Laptop Outside Account Statement of Corrective Action Non-Solicitation SunTrust Pennystocks Constitution Ethereum Information Written Supervisory Procedures Administrative Remedies Wanger Disability AAA Chief Compliance Officer Form ADV Hearing Medical Condition Eligibility Kon Diversity Consent Order Parking Subpoena Sharemaster Slander JPM Obstruction Talman Harris Mutual Fund Star Wars Bid Rigging Rule 3030 Marine Corps Casino TCR Amazon Teleconference McDuff Taxes 6th Circuit Margin Call ACH FINRA AWC BrokeAndBroke IM Attorneys Fees Probate Linde Murphy Self Regulatory Organization EDNY White Negligence Research 6Cir Aguilar Statutory Disqualification Committee Rule 2210 Membership Continuance Corzine Joint Account OCIE SDFL Hugh Hewitt Libel Side Bar Moon Layering Honorarium Deferred Compensation securities industry commentator Testing Ride the Thunder Vietnam Marines Funds Whitman Johnny Burris Guitron WB-APP HSBC Leveraged ETF Private Placements Yesenia Guitron Commodities Fraud Unauthorized Practice of Law Argentina Government Accountability Project ICO Trade Secrets Failure To Supervise Marketplace Lawyers Online Poteroba 401k Morgan Stanley Smith Barney Nietzsche Penson Finder\'s Fee Federal Reserve David Sobel NPR 9/11 Accounting Smith Barney Control Person Scholander Selling Away Lincoln Financial Hospital Dell CDO FCPA 17a-5 Hester Peirce Rationale AXA Annual Audit Chevron Self Directed Reuters Sexual Discrimination Arbitration Backstage Wall Street Guest Bloggers Red Flags Robert Cook Trader Sarbanes Oxley SP Test Center NoCA Fiduciary Duty Fine Absolute Immunity Obama Texting VXX Johnson Fowler Capital Gains Crime Resignation Prudential Rule 9554 40 Act RRBDlaw Taft Correctional Institution Christian Stanley Reverse Life Insurance Newport Coast Securities RICO Sexual Harassment Inmate Withdrawals Whistleblowers Motion to Compel Moore Client Information Enforcement Netschi Kiting SD Counterfeit Rule 9216 11Cir TIC CGMI Fifth Amendment WaMu Attorneys\' Fees Florida Fines NYG Capital FOCUS Relevant PIABA Settling Away BrokerAndBroker.com S&P Death Rory Flynn Commissioner Stein Rule 12212 Blank Forms 401(k) Regulation S-P signature Meals Google Judgment Trading Elder Law BrokeAndbroker Over Concentration Inside Information YouTube Motion 11th Circuit Schneiderman Life Insurance Chiasson Reform CD Saad Beneficiaries Turnover Non Solicit Excessive Trading Stockbroker Investment Adviser Timban David Lerner Pruco Verbal Discretion Oral Discretion Stop Loss Copyright Rule 2370 Relevant Disciplinary History Service Rule 1031 FINRA Small Firm OWWP Outside Accounts ESOP NDCA SIFMA Do Not Call Scottsdale Regulation 1Cir Respondeat Superior Equity Indexed Annuities Tax Fraud Disciplinary History Biden Congress Female First Amendment Data Cold Spring Advisory Group LLC Investor Alert Privilege Jennifer Tarr Escrow BATS Confirmation Password Rule 21F Fee Commodities Arrest Chase Investment Services Money Market Electronic Communications Third Party Vendor Permanent Bar Thain Stipulated Award FCI Beaumont Elles RR Department of Justice Expert Witness FCI Puts Robert Muh Banks Bezos McCartney Practice Sale FNI Media Constructive Discharge Wages Fiero DWI Legend Collateral Bar Books and Records Expense false statements Falsification Sharing Agreement HBO Microcap 9th Circuit Municipal Advisor Retroactive Bar NRSRO Bartko PHC Mistake FDA Books And Records Lexicon Rule 2430 CMA Capitalism Patriot Act Jon Corzine Checking Goble Preet Bharara Cryptocurrencies Twitter Preliminary Determination Retired Woman With Cane Tennis Court Life Settlement Statute of Limitation Undercover CAT Risk Obamacare Powell Arbitrator EDPA Well Managed Portfolio Last Known Address Mantar Springsteen Elon Musk Collateral NML Anderson Silver Merrill Galleon Diamonds Leveraged ETFs Liquidation Willfull Work Product Salman Lee Compliance Questionnaire Evidence Advisor Placement Group Martoma Father Confidential Customer Information BIll Singer Janney Montgomery Scott UIT William Faulkner SEC Rules of Practice MDLA Bribe Baby Boomers Confidentiality Theft Laser Trainee Fee Criminal Mary Schapiro Daspin Disney Malice Self Reporting Flash Drive ADR MBS IBM Orders Mattera FMLA Excel Kennedy Sex Fraudulent Inducement BrokeandBroker.com Preliminary Injunction Tran Countrywide Romer DPA Deferred Prosecution Agreement GAP Conflicts Walter Executrix Spoliation Pacifico Vacate Non-Prosecution Agreement Exception Reports Kenneth Starr Conflict of Interest Altered Records Exhaustion Doctrine Lek fraud EEOC QuadrigaCX Principal Municipal Bonds mail fraud wire fraud Liu money laundering ETFs Apartment Undertaking Murray Koval Eric Stein Branch Manager Cherry Picking PSRO Quasi Governmental Solomon State Actor Rule 420 Exotic ETF ALJ Grimes Women Reasonable Summary Judgment Ten Commandments Penalty Rule 3310 Non Compete Schumer Breach of Contract Section 206 Tipper RRBDLAW Oilpro Kent Tippee Diabetes Skimming Series 79 Naskovets Dow Stephen A. Kohn Financial Disclosure Sears Outside Counsel BitTorrent In House Counsel Impersonator Rules of Practice 5Cir Broy Brokeandbroker.com AWC. FINRA ADEA Prime Bank Game of Thrones Investacorp Traders Production Nationwide Dostoevsky Credit Repair Default Turbeville Texas State Securities Board Margin Calls Nasdaq Rule 2330 Chase Bank Payroll Travel Age Discrimination Subway Sterne Agee Currency Election Merill Lynch Dissident Civil Rights Spam Witness Tampering JPMorgan Chase Lewis Carroll Covid-19 Pension God SIPC Harris Securities and Exchange Commission NFA Bob Dylan Customers Hackers Deceased Customer Son Cybercrime National Securities Promoter BBVA House Financial Services Irreparable Harm Retroactive Mary Jo White Compliance Officer CMO 1099 Wells Fargo Advisors Stock Promotion Unauthorized Trades Molchatsky Guardian Hertz Supervisor Stipulation Transfer Short Sale Compromise NY Life US Airways Rule 3210 Wires Kierkegaard Income Ethics Personal Information Wire Transfers Clayton 10b-5 Reverse Merger Scam Gabelli Bill singer Racism Disparate Treatment Rule 12104 Led Zeppelin Allstate Gifts Fourth Amendment Motion To Dismiss Dinner Finra Office of Special Counsel Coin Wang Restitution EB-5 Newbridge Varney MSPB Proctor Series 66 Initials iPhone Martin Merger 10b-10 Reason for Termination ALJ Foelak Offset Costa Rica Grievance AIG 8210 Res Judicata Bank Guarantee Bill Singer BrokeAndBroker Berthel Fisher Binary Options State Farm Cellphone Customer Files FTC Boyland