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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Insurance Identity Theft RRBDLAW.com Scottrade Liens Registered Rep Magazine Wedbush E*Trade JPMorgan FINRA Arbitration Stockbrokers Solicitation Forex Annual Compliance Questionnaire Fiduciary Great Recession Letter of Authorization Rule 3010 Options Aegis Frumento Rule 12206 Eligibility Rule Audit Malware employment Rule 3050 Net Capital Rule 12805 LIBOR Second Circuit Website 2nd Circuit BrokeAndBroker Bill Singer Social Media brokeandbroker Disclosure Customer Complaint Solicited Prison Will Wey jobs Retirement Hacking TRO Customer FINOP Registration Away Accounts arbitration Brummer Trading Platform Unsolicited Zipper Reimbursement RMBS Dissent Apple Motion to Dismiss Willfully BrokeandBroker Time And Price Bureau of Prisons Private Securities Transactions Sanctions 10Cir Unsuitability Reg SP Private Placement Plea FOREX Judgments China Unauthorized Trading Newman Rule 4511 Broker Protocol Internet Telephone BOP RRBDlaw.com OWB Lehman Rule 4530 IC3 Rule 12200 NYAG MetLife Crowdfunding WSPs DOL Lucia FNMA Spoofing Deceased Variable Annuities Personal Expenses Commission Hedge Fund REIT Explained Decision Auction Rate Securities Dakota Securities Self Regulation Check Kiting Protocol Examination Piwowar Cheating Knight Rule 2111 ADA Divorce Confidential Information Disgorgement Obstruction of Justice Stifel Arbitraiton MC-400 Rakoff Debit Card Class Action SAC Stanford Ketchum Postponement Morgan Keegan Indemnification Regulation SP Lawyer Executor Vacatur Sexist Discrimination Appointments Clause Reg D bill singer Confidential PNC Phishing Jurisdiction Shah Gilani Compensation Churning Affiliate Article V Rule 2150 Raiding Passcode Hilton Weiner Medicare Charge Stifel Nicolaus MF Global JOBS Act EIA High Frequency Trading Board Bonds Retaliation Check Woody Allen Wine Bandimere Botkin 9Cir PN Sanction Guidelines OIG Joshua Brown Affinity Fraud OSHA Fees Gold Emails Due Process Khuzami Waiver Aleynikov Hurry Rule 2081 Conflict IPO Banc of America Wire Transfer TD Ameritrade Whitman Corzine ACQ Ride the Thunder Charles Schwab Vietnam Guitron Penson Johnny Burris Deferred Compensation Concentration Yesenia Guitron USERRA Statutory Disqualification Committee Membership Continuance Eligibility Government Accountability Project 401k White Finder\'s Fee Termination Online Casino 6th Circuit Unjust Enrichment Corruption Rule 13805 Whistleblowing Pennystock Consent Order Pennystocks Bank Fraud Morgan Stanley Smith Barney Embezzlement Widow Commodities Fraud Self Regulatory Organization Sales Assistant Marines Statute of Limitations Testing Marine Corps Mutual Funds Suspension Written Supervisory Procedures Side Bar Rule 3110 Kon Bear Stearns SunTrust Employment Agreement Morgan Stanely Restaurant Bloomberg Series 7 Disability Charity CE Unregistered McDuff Puerto Rico Teleconference Testimony Laptop Imposter Mutual Fund Small Firm Governor Chief Compliance Officer AML Day Trading Loans Accounting Rosenthal Recruiting Parking Aguilar Vault CEO Statement of Corrective Action Customer Information Securities Industry Commentator Dementia Marijuana Rule 3030 Confirm Private Placements Bid Rigging Reg S-P Hearing HSBC Smith Barney Sexism Marketplace Oppenheimer BrokeAndBroker.com Blog Elder Abuse Failure To Supervise Information ING NPR Poteroba Christian Stanley FINRA AWC Hospital Thain Reverse Life Insurance Investment Adviser Elles Stockbroker Mother Fine 401(k) Negligence Commissioner Stein Oral Discretion Department of Justice Guest Bloggers TSSB Taft Correctional Institution Robert Cook Verbal Discretion Motion to Vacate Red Flags Outside Account Equity Indexed Annuities Tax Fraud 40 Act Arrest Chase Investment Services Florida Unsuitable Administrative Remedies Scottsdale 4Cir BATS Fowler CGMI Commodities Outside Accounts Fifth Amendment WaMu Board of Governors Schneiderman Circuit Court Congress Non-Solicitation Moon Rule 2370 Rule 1031 Tortious Interference OCIE Dell Stop Loss Investor Alert Argentina PAQ Judgment Layering Leveraged ETF FCI FCI Beaumont Over Concentration Kiting Inability to Pay Unauthorized Practice of Law Credit Suisse Sexual Harassment RRBDlaw TIC Trade Secrets Stipulated Award OWWP Female Backstage Wall Street Feigenbaum Sharemaster Counterfeit Do Not Call Client Information Probate Form ADV signature TOD Inside Information Rule 2210 Lincoln Financial CPA Inmate Motion Federal Reserve Timban CNBC Severance Scholander Broke And Broker Medical Condition Star Wars ACH TheBlot SP David Sobel Third Party Vendor CRS BD Margin Call Counterclaim BrokerAndBroker.com IAR Settling Away 11th Circuit Moore Netschi FOCUS Chiasson expungement Rule 9216 Research SIFMA Attorneys Fees Martin Credit Repair FINRA Board Manifest Disregard 9/11 Varney Nasdaq Privilege MBS Murray Willfull Turbeville Advisor Placement Group Excel Conflicts Bank Guarantee Securities and Exchange Commission Merrill MSPB Rory Flynn Attorneys\' Fees Immunity Anderson Service Constructive Discharge Standing Mattera BitTorrent Salman Goble Liquidation false statements 8210 Falsification FMLA Impersonator Resignation Springsteen McCartney JPM Bill singer Reason for Termination BrokeAndbroker Nationwide Practice Sale Koval Undercover Office of Special Counsel Wages Enforcement Johnson Selling Away US Airways Cellphone Newport Coast Securities Reverse Merger Constitution Trainee Fee Obstruction Money Market Laser Escrow CMO Collateral Password Expert Witness Data Naskovets Books and Records Scam Obamacare Skimming Grievance Brokeandbroker.com Rule 4513 Kenneth Starr Theft Checking Lek House Financial Services Rule 12504 Jon Corzine Reform Texting Broy SD Preet Bharara Customers AWC. FINRA Rules of Practice Test Center Rule 420 Reuters Chase Bank Galleon Quasi Governmental Financial Disclosure Hugh Hewitt Non Solicitation Solomon Rule 9552 Undertaking Texas State Securities Board Promoter Subway Prime Bank Criminal FCPA PIABA Joint Account Pension Lewis Carroll Disciplinary History Apartment Stephen A. Kohn Executrix Electronic Communications Tippee Branch Manager Eric Stein Cybercrime Tipper God Mary Schapiro CDO BrokeandBroker.com Altered Records Payroll Nietzsche Currency Cannabis Merill Lynch Subpoena Risk Statute of Limitation Non-Prosecution Agreement Spoliation Sexual Discrimination Flash Drive Pacifico Fiduciary Duty FNI Media NRSRO GAP Bartko Lee BBVA NFA Municipal Advisor NYG Capital Retroactive Retroactive Bar Collateral Bar Exhaustion Doctrine Fee Outside Counsel Travel Sex In House Counsel DWI Summary Judgment 17a-5 FINRA Small Firm FDA Chevron Annual Audit Fines Fiero Expense Relevant Oilpro Kent Cherry Picking Mistake AXA BrokeAndBroke Trader 9th Circuit Books And Records ADR Leveraged ETFs David Lerner Mary Jo White Baby Boomers Wells Fargo Advisors Compliance Officer SEC Rules of Practice Countrywide Google Janney Montgomery Scott Martoma Newbridge Tran Turnover Elder Law Evidence Spam Disparate Treatment Supervisor Finra Wanger Silver Costa Rica Molchatsky Gabelli FTC CD Lawyers Withdrawals Proctor Blank Forms Puts Merger Compliance Questionnaire Bribe VXX Bill Singer BrokeAndBroker Trading Customer Files Dinner BIll Singer State Farm RRBDLAW AAA 1Cir Initials Boyland Death Taxes Regulation Father Tennis Court EDNY Retired Woman With Cane TCR Regulation S-P Excessive Trading iPhone 1099 S&P Cold Spring Advisory Group Rule 13200 Fourth Amendment Permanent Bar LLC Kennedy SIPC Short Sale Ethics Elder Fraud Hertz Dow Public Interest Jennifer Tarr Personal Information Compromise Walter Motion To Dismiss Diabetes Wires AIG NML Pruco Wire Transfers Sharing Agreement Stock Promotion Schumer