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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NYSE Credit Card Madoff Wall Street Stephen Kohn Frumento Commissions Rule 3040 Schwab 2Cir TRO Margin Private Securities Transaction Insurance Injunction Small Firm Annuities Options Beneficiary Corrective Action Statement Rule 3280 Facebook Impersonation Bank of America Antitrust arbitration Indictment Promissory Notes Real Estate Tax Liens Power of Attorney ETF Tax Lien Rule 12206 Exam SRO FAA Spouse Street Legal Mortgage Test CFTC ATM Complaint Stay Misdemeanor Remand Trust OTR Due Diligence Offer of Settlement COVID Sanctions Away Account Customer Crypto email Rule 2510 Goldman Sachs Case In Point Signature Trustee Wire Annuity Barclays ACQ VA Initial Decision Schapiro Eligibility Rule OWB Motion to Dismiss Loan ARS Spouses Lien NASDAQ Appeal POA Blockchain T&P Rule 4511 Liens Explained Decision Employee Forgivable Loan Securities Fraud Rule 4530 Burris Retaliation Unauthorized Discretion 9Cir Money Laundering NSF Bonus PCAOB Deutsche Bank Reg SP HFT Great Recession NASAA DCCir Jurisdiction RBC Fidelity Cease And Desist JPMorgan Conspiracy Signatures Solicitation Compliance E*Trade Mandatory Arbitration Reimbursement Rule 12200 Unfair Competition Failure to Supervise Dissent Retirement Flash Crash Discrimination LOA TD Ameritrade Fiduciary Scottrade Class Action Hacking Personal Expenses Divorce Vacatur Severance AML Rule 3010 Undisclosed Settlement Huffington Post Chase Continuing Education Credit Cards Broker Protocol Unsuitability Disgorgement Willfully brokeandbroker Identity Theft Gallagher Cryptocurrency Disclosure Customer Complaint Deceased Board 10Cir Bharara Hacker REIT Motion to Vacate Bitcoin Malware MSSB Lehman Brothers Variable Annuity expungement Unauthorized Trading Rule 3050 RRBDLAW.com Registered Rep Magazine Variable Annuities Social Media Stockbrokers FINRA Arbitration Letter of Authorization Sexism IAR Coronavirus Stifel Apple Sexist Away Accounts CRS Will Annual Compliance Questionnaire Self Regulation Wey Spoofing Wedbush Website Audit Internet Forex Examination BD employment Lucia Manifest Disregard Loans Private Placement Credit Suisse Lehman BOP Private Securities Transactions Indemnification Due Process Trading Platform Second Circuit Commission Prison jobs RMBS Confidential Information MC-400 Widow Solicited Kokesh LIBOR 2nd Circuit PNC SDFL Postponement Elder Abuse Statute of Limitations Rule 3110 Crowdfunding Rule 2111 Net Capital Registration Brummer BrokeAndBroker Bill Singer Rule 12805 FINOP Zipper Hilton Weiner RRBDlaw.com Rule 2150 Newman Bonds TOD BrokeAndBroker.com Blog Telephone Emails Marijuana WSPs Bear Stearns Sanction Guidelines Judgments Unsolicited PIABA Fees Plea Public Interest Charles Schwab BrokeandBroker Morgan Keegan Cheating Time And Price Dakota Securities IC3 China Unjust Enrichment Waiver Arbitraiton Imposter Debit Card ADA Hedge Fund bill singer Non-Solicitation FOREX MetLife Bureau of Prisons OSHA Rule 2081 Botkin NYAG Obstruction of Justice Rakoff Check Kiting Board of Governors Joshua Brown Small Firm Governor Auction Rate Securities Lawyer Whistleblowing Suspension SunTrust Covid Rule 9552 Oppenheimer RR CE Whistleblowers Charge Compensation 3Cir Private Placements Puerto Rico Gold Reg S-P IPO Racism Knight FNMA Rule 13200 Confirm FINRA Board Rule 4513 Diversity Counterclaim Tortious Interference CNBC Testimony Piwowar Stifel Nicolaus JOBS Act Motion to Confirm Embezzlement Mutual Funds WB-APP Protocol Regulation SP CPA DOL Employment Agreement JPM Mother Elder Fraud Concentration USERRA Standing AAA Bandimere securities industry commentator Ketchum Taxes Dementia NoCA Morgan Stanely Leveraged ETF Restaurant Bank Fraud Appointments Clause Check Pennystocks Testing Hurry Affinity Fraud Unregistered Federal Reserve Breach of Contract Trade Secrets SAC Information 4Cir Immunity Day Trading High Frequency Trading Broke And Broker TSSB Woody Allen Banc of America VIX Lawyers Wire Transfer Statutory Disqualification Committee Reg D Article V CEO Biden Passcode Shah Gilani EIA Membership Continuance Conflict Sales Assistant 9/11 Raiding Cannabis Churning PN Rule 13805 Rosenthal Recruiting Inability to Pay Bloomberg MF Global Circuit Court Series 7 Termination Khuzami ING Funds Exhaustion of Administrative Remedies Confidentiality Rule 12504 Phishing Aleynikov OIG Margin Call Puts Wine TheBlot Robert Cook Unsuitable Executor Confidential Rule 12904 Non Solicitation Charity Customer Information Pennystock Irreparable Harm Medicare Feigenbaum Affiliate 11Cir Stanford Hester Peirce Chase Investment Services Rule 12212 signature money laundering Self Regulatory Organization Motion to Compel NPR Corruption Death Parking Unauthorized Practice of Law Disability Marketplace Wanger Subpoena Mutual Fund Sarbanes Oxley BrokeAndBroke White Moon Argentina Rule 2210 Finra Deferred Compensation Bid Rigging EDNY Talman Harris CDO Failure To Supervise Rule 3310 Commodities Fraud 1Cir Saad Probate IM Administrative Remedies Poteroba Stipulated Award Johnny Burris Rule 3030 PAQ Eligibility Attorneys Fees Chief Compliance Officer Absolute Immunity Penson Guitron Lincoln Financial Obstruction Finder\'s Fee Teleconference 6th Circuit OCIE Ethereum Hugh Hewitt 10b-5 Nietzsche TCR 401k Sexual Harassment Joint Account Negligence Customers Star Wars Vault Kon Constitution Slander AXA McDuff Layering David Sobel Whitman Aguilar Laptop Service Yesenia Guitron Medical Condition Accounting Third Party Vendor Consent Order Sharemaster Government Accountability Project fraud Relevant Disciplinary History Casino Outside Account Marine Corps Written Supervisory Procedures Side Bar Michael King ACH Corzine 6Cir NDCA Online supervision HSBC Statement of Corrective Action Amazon FINRA AWC Form ADV Test Center Honorarium Ride the Thunder Hearing Michael King Associates Research Vietnam ICO Morgan Stanley Smith Barney Marines Smith Barney Libel Puerto Rico Bonds OWWP Offset Regulation Rationale Resignation FOCUS Arbitration FCPA FMLA Control Person Self Reporting Capital Gains FINRA Small Firm Escrow Obama Rule 21F Johnson Fowler Rule 13504 FCI FCI Beaumont NRF Equity Indexed Annuities CMA Civil Rights Tax Fraud Enforcement Withdrawals NYG Capital RICO DNJ 10b-10 Data Cold Spring Advisory Group Client Information LLC Jennifer Tarr Dell BATS Rule 2370 Reverse Life Insurance Motion RRBDlaw Timban Do Not Call Settling Away Taft Correctional Institution Life Insurance ESOP Christian Stanley Female Permanent Bar Reuters Daughter Rory Flynn Scholander Gensler Rule 9554 Password Default Turnover Non Solicit Scottsdale SD Congress Crime 11th Circuit SP Expert Witness Relevant Netschi Chiasson Moore Revocation Acosta elderly Inmate Extortion First Amendment BrokerAndBroker.com Attorneys\' Fees FAP Meals Sexual Discrimination Rule 9216 Microcap Trader S&P Reform VXX Prudential Electronic Communications Schneiderman Pruco Outside Accounts SIFMA Counterfeit Excessive Trading 17a-5 Red Flags Newport Coast Securities Annual Audit Son Verbal Discretion Preliminary Injunction Oral Discretion Series 79 Chevron David Lerner Stockbroker Investment Adviser Fine Self Directed NY Life Selling Away 401(k) Commissioner Stein Restitution Blank Forms Texting Florida YouTube 40 Act Guest Bloggers Outside Counsel Privilege Fiduciary Duty Regulation S-P Beneficiaries Money Market Fifth Amendment State Actor Backstage Wall Street BrokeAndbroker Conflict of Interest Respondeat Superior Elder Law Robinhood Department of Justice Commodities Spoliation Over Concentration Elles Hospital Pension Disciplinary History Stop Loss Arrest wire fraud Rule 1031 Copyright Investor Alert WaMu Judgment wrongful termination Fee mail fraud Google Confirmation Thain Rule 2430 For Cause Trading Fines Wires CGMI CD Risk Inside Information TIC Kiting McCartney Motion to Postpone NYLIFE Jon Corzine Falsification Martin Nasdaq Impersonator Books and Records Ecuador Life Settlement GAP Cybersecurity At Will Turbeville Credit Repair Beatles Conflicts Merill Lynch South Park Income false statements FDA Flash Drive Executrix ADR BBVA Constructive Discharge Reverse Merger Practice Sale Bank Guarantee Sharing Agreement Rule 420 Preet Bharara Gnomes Cybercrime Anderson Scam Altered Records Daspin Public Arbitrator Quasi Governmental Wages Pershing Obamacare Checking Twitter MDLA FINRA Eligibility Rule BitTorrent Berthel Fisher Frivolous DWI Theft JAMS Lexicon Guardian Punitive Exotic ETF Reasonable Goble Advisor Placement Group Well Managed Portfolio Texas State Securities Board Solomon Tipper Springsteen Notice No Show Extraordinary Circumstances MBS CAT Non Compete Tippee Lewis Carroll Merrill Expense Lee Fiero Willfull FINRA Foundation Orders Arbitrator Municipal Bonds ETFs Malice Customer Files Principal Office of Special Counsel Transamerica Skimming Naskovets Koval Financial Disclosure Kent Oilpro Reason for Termination SDCA Undertaking Kenneth Starr Murray Rule 12104 Margin Calls Deceased Customer DPA Deferred Prosecution Agreement Excel Disparate Treatment Molchatsky Securities and Exchange Commission Dissident Exception Reports Kierkegaard Initials Harassment Jay Clayton Lek Nationwide Eric Stein ALJ Grimes Stipulation QuadrigaCX Sears Tran Liu Countrywide Exhaustion Doctrine Baby Boomers Ethics Wang Compliance Officer PHC Motion To Dismiss Swaps Rule 2330 Voya Fourth Amendment Series 66 Proctor Gabelli Branch Manager Blackbook 5Cir Unauthorized Trades Rule 12511 Subject Matter Jurisdiction Allstate Powell sexism Securities America Allocation Traders Cherry Picking Led Zeppelin Bill singer Women Racial Discrimination Sterne Agee RRBDLAW Wells Fargo Advisors CMO Salman Mail Dinner Capitalism Elon Musk Supervisor Last Known Address Brokeandbroker.com NFA Mantar Liquidation Superior Court Bartko NRSRO Municipal Advisor Harris Gifts bank MSPB Collateral Bar Retroactive Bar Broy House Financial Services Court of Appeal Bezos Transfer Retroactive FNI Media Title VII iPhone Game of Thrones Sex Work Product Leveraged ETFs Collateral Burden of Proof Galleon Coin Section 206 In House Counsel Investment Advisers Act Statute of Limitation Mistake 9th Circuit EB-5 JPMorgan Chase Bob Dylan Stock Promotion Criminal Mary Schapiro BrokeandBroker.com Disney Wire Transfers Summary Judgment IBM Compromise Short Sale Production Witness Tampering Hayden Khan Dostoevsky Cryptocurrencies Binary Options 1099 expenses Diamonds HBO NML Jury Instructions Alcoholism Silver Preliminary Determination 8210 Kennedy National Securities Third Party Beneficiary Boyland Covid-19 Res Judicata Motiion to Acquit SEC Rules of Practice Evidence ADEA Age Discrimination Books And Records Currency Rule 144 securities fraud Cantor Fitzgerald Tennis Court Retired Woman With Cane Dylan NPI FTC Examinations Rules of Practice Romer Confidential Customer Information ACT! Clayton AWC. FINRA Mattera Laser Varney ALJ Foelak Newbridge Trainee Fee Tysk Chase Bank Costa Rica Travel Rule 3210 Zoom Subway Promoter Grievance Altered Personal Information Payroll Hackers Back Dated Schumer Walter State Farm PSRO Non-Prosecution Agreement Cellphone Fraudulent Inducement EDPA Pacifico AIG ESG William Faulkner Bribe SIPC EEOC Undercover SDOH Merger Vacate Arbitrability Banks Legend Prime Bank Stephen A. Kohn Compliance Questionnaire Bill Singer BrokeAndBroker US Airways Hertz Particularity Ten Commandments Patriot Act Diabetes BIll Singer Hurtado Bank Secrecy Act College God Espionage Mary Jo White Penalty Dow Spam Investacorp Father Law School Apartment Vaccarelli Martoma Janney Montgomery Scott FinCEN UIT