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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Commodities Fraud Mutual Fund Rule 12504 Unsuitable Laptop Johnny Burris Federal Reserve Bank Fraud Obstruction TSSB Deferred Compensation David Sobel Guitron Online Employment Agreement Rule 4513 Finder\'s Fee Chief Compliance Officer Small Firm Governor Statutory Disqualification Committee Government Accountability Project Private Placements Whitman Accounting White Eligibility Consent Order Subpoena Outside Account TCR Teleconference Series 7 Manifest Disregard HSBC Cannabis Counterclaim Self Regulatory Organization Rule 2210 Marketplace Linde Murphy Layering Pennystocks NPR Corruption Rule 9552 Testing Vault Poteroba Kon CNBC CPA Casino Trade Secrets Penson Inability to Pay Disability Feigenbaum Vietnam Joint Account Ride the Thunder Side Bar Mother Margin Call Widow Failure To Supervise 401k Bid Rigging Information Marine Corps McDuff SunTrust Marines ACH Non-Solicitation Nietzsche Kiting Arrest Elles Commodities Sexual Discrimination Department of Justice Chase Investment Services Money Market SP TheBlot Scholander Rule 2370 Scottsdale Robert Muh Hospital AXA BrokerAndBroker.com Administrative Remedies Sharemaster Control Person 4Cir Stipulated Award Backstage Wall Street Robert Cook Red Flags Do Not Call Guest Bloggers Constitution Fine 40 Act expungement Dell FCI Beaumont Kokesh Outside Accounts Regulation FOCUS Client Information Congress IAR Counterfeit Password Rule 1031 Thain Reverse Life Insurance Wanger FCI Christian Stanley Taft Correctional Institution Withdrawals Equity Indexed Annuities Tax Fraud Texting Escrow Rule 12212 YouTube 9/11 SIFMA 401(k) Investment Adviser Fifth Amendment Excessive Trading David Lerner Stockbroker Netschi Moore Commissioner Stein JPM Over Concentration WB-APP Elder Law Trading Broke And Broker Standing Death Attorneys\' Fees CGMI FINRA AWC Rule 21F Rory Flynn Attorneys Fees Privilege signature Lincoln Financial Selling Away Inside Information Third Party Vendor CD Resignation Motion Settling Away Timban Probate Ethereum Research Chiasson IM Negligence Turnover Verbal Discretion Oral Discretion Libel First Amendment 11th Circuit WaMu Schneiderman Meals Fowler BD Judgment Cold Spring Advisory Group VIX TIC Tortious Interference Fines Electronic Communications Jennifer Tarr Investor Alert RRBDlaw Credit Suisse Rule 9216 Stop Loss Female Sexual Harassment OCIE Funds Inmate Amazon Argentina PIABA Florida BATS Google VXX Sarbanes Oxley BrokeAndBroke BrokeAndbroker OWWP Sears God CDO In House Counsel Martin Relevant Fiero Branch Manager Honorarium FNI Media Respondeat Superior NoCA Hugh Hewitt Irreparable Harm ICO FDA Retroactive NYG Capital Talman Harris Game of Thrones Undertaking Jon Corzine Bank Guarantee Exception Reports AWC. FINRA Elon Musk DWI Production Bezos Eric Stein Credit Repair Chevron Anderson Lee SD Merrill FINRA Small Firm Confidential Customer Information Preet Bharara FCPA Financial Disclosure Theft Pension Stephen A. Kohn Texas State Securities Board Office of Special Counsel Bill singer ALJ Grimes Grievance Disciplinary History Unauthorized Trades Prime Bank Rule 12904 Promoter Apartment Guardian Flash Drive Election Checking Clayton National Securities Expense Motion to Confirm Advisor Placement Group Newbridge Annual Audit Subway MSPB Willfull 17a-5 Life Insurance GAP ADR Outside Counsel Falsification SEC Rules of Practice Chase Bank Payroll Evidence Rules of Practice Diamonds NML Silver UIT Janney Montgomery Scott Bill Singer BrokeAndBroker Merger Regulation S-P State Farm BIll Singer Travel Martoma Father ADEA LLC Tippee Tipper Altered Records Data Undercover Practice Sale Rule 3310 Reasonable Trainee Fee Executrix Customers Kennedy Age Discrimination Cybercrime Romer Laser Lewis Carroll Mattera Mary Jo White Compliance Officer Stock Promotion Binary Options Short Sale 10b-5 Coin Collateral Disparate Treatment Pruco Compromise Wires Wells Fargo Advisors CMO Transfer EDNY Dinner Wire Transfers iPhone Supervisor Leveraged ETFs Work Product Fourth Amendment Gabelli Proctor S&P Motion To Dismiss Books And Records Confirmation Fee EDPA Blank Forms Taxes Molchatsky Excel Initials 1Cir Customer Files PHC Microcap Wages Arbitration Puts Cherry Picking Exhaustion Doctrine Compliance Questionnaire Kent Trader Powell Oilpro Retired Woman With Cane Pacifico Merill Lynch RICO Offset Currency Rule 3210 Non-Prosecution Agreement Tennis Court Permanent Bar Expert Witness Summary Judgment Self Reporting Section 206 FMLA Bartko Lek Collateral Bar Municipal Advisor NRSRO Liquidation Test Center NY Life Reason for Termination Nationwide Reuters Women Salman Newport Coast Securities Kierkegaard Motion to Compel AAA Well Managed Portfolio JPMorgan Chase Fiduciary Duty Witness Tampering Sterne Agee Rule 2330 Bob Dylan Immunity Municipal Bonds Obamacare Springsteen McCartney Solomon Quasi Governmental Rule 420 Spoliation Life Settlement Exotic ETF Lexicon Goble BitTorrent Impersonator false statements Sharing Agreement Daspin BBVA Service Orders Books and Records FINRA Board Turbeville MBS Enforcement Conflicts Nasdaq Constructive Discharge 11Cir Retroactive Bar Risk Sex Ethics SIPC US Airways Spam Galleon Lawyers Walter Bribe Naskovets Diabetes Cellphone Finra Scam 8210 Countrywide Koval Brokeandbroker.com Tran 9th Circuit RRBDLAW Personal Information Mistake Reverse Merger NFA Baby Boomers AIG Varney Dow Hertz Kenneth Starr Securities and Exchange Commission BrokeandBroker.com Skimming Murray Costa Rica Reform Mary Schapiro Boyland Johnson Broy FTC Capital Gains Statute of Limitation House Financial Services Schumer Criminal 1099