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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Class Action Testimony Statute of Limitations PNC CRS Appointments Clause Affinity Fraud Conflict Rosenthal Recruiting Aleynikov TSSB Counterclaim Non Solicitation Shah Gilani Khuzami Rule 13805 Affiliate Raiding Stanford Passcode Gold Woody Allen Bloomberg Reg S-P Puerto Rico Concentration TOD Restaurant Customer Information Rule 9552 USERRA Pennystock Morgan Stanely Confidential Ketchum COVID Medicare Reg D EIA Public Interest Board of Governors Cannabis High Frequency Trading Confirm Bandimere Hurry Inability to Pay Employment Agreement MF Global Wine Embezzlement Tortious Interference Oppenheimer ING PN Unsuitable Series 7 Regulation SP SAC Dementia AML CEO Rule 2081 Churning Rule 13200 Rule 12504 Wire Transfer Termination Elder Fraud Whistleblowing Article V Phishing OIG Check Executor Charge Sales Assistant Banc of America Trade Secrets EDNY Smith Barney Information Corruption Laptop Marine Corps Circuit Court ICO Online Bid Rigging IM Rule 3030 Johnny Burris White Mutual Fund Self Regulatory Organization Small Firm Governor Hearing Whitman Federal Reserve Form ADV Government Accountability Project Yesenia Guitron Chief Compliance Officer Guitron Parking Failure To Supervise David Sobel Moon Teleconference Broke And Broker Membership Continuance Deferred Compensation Corzine Layering ACH Kon Day Trading Statutory Disqualification Committee Feigenbaum Amazon Ethereum 9/11 Star Wars PAQ Argentina Slander Charity Bank Fraud Testing Morgan Stanley Smith Barney McDuff Finder\'s Fee Margin Call Outside Account Attorneys Fees Leveraged ETF BrokeAndBroke Subpoena Funds expungement 4Cir Eligibility Penson Standing Casino Nietzsche Statement of Corrective Action Aguilar Medical Condition Written Supervisory Procedures Obstruction HSBC Rule 4513 Vault Private Placements 6th Circuit Pennystocks Poteroba 401k Side Bar Vietnam TCR Marines Ride the Thunder Rule 2210 SDFL Probate Linde Murphy Disability Unregistered Marketplace Accounting Motion to Confirm Consent Order Mother SunTrust NPR Commodities Fraud Unauthorized Practice of Law Joint Account WB-APP Kokesh BD Motion Hospital Test Center Fine CDO Commodities Backstage Wall Street Timban Rule 21F Dell Non-Solicitation Red Flags Thain ESOP Counterfeit Money Market Robert Cook Control Person Kiting Guest Bloggers Texting Sharemaster Scholander Disciplinary History Fiduciary Duty Resignation Meals Equity Indexed Annuities Tax Fraud Sarbanes Oxley Outside Accounts WaMu Settling Away SP Arbitration Inside Information Fowler signature RRBDlaw Rule 2370 Sexual Harassment Rule 1031 JPM Sexual Discrimination First Amendment Hester Peirce Libel Do Not Call Rule 9216 Florida Privilege BrokeAndbroker Scottsdale Administrative Remedies OWWP Talman Harris Fines 40 Act OCIE AXA TheBlot Congress Respondeat Superior Fifth Amendment Newport Coast Securities Electronic Communications 1Cir CGMI Constitution PIABA Rule 12904 Attorneys\' Fees TIC Password Wanger Moore Excessive Trading Stockbroker 11Cir Data Netschi David Lerner Lincoln Financial FINRA AWC FOCUS Selling Away Turnover Withdrawals Regulation Inmate IAR Investment Adviser 401(k) Stipulated Award Escrow VIX VXX Christian Stanley Reverse Life Insurance CD Taft Correctional Institution Client Information FCI Female Judgment Google Stop Loss Investor Alert Death Chase Investment Services Schneiderman Trading Negligence Puts Over Concentration Elder Law Robert Muh RICO Verbal Discretion Third Party Vendor Rory Flynn Jennifer Tarr LLC FCI Beaumont Cold Spring Advisory Group BrokerAndBroker.com Research SIFMA 11th Circuit Rule 12212 Chiasson Oral Discretion BATS S&P Elles Arrest YouTube Department of Justice Commissioner Stein Checking Naskovets Skimming Mistake Dow Dinner Rules of Practice Whistleblowers BIll Singer Exhaustion Doctrine Traders 9th Circuit Arbitrator IBM Motion To Dismiss Schumer Disney Father Merill Lynch Section 206 Diabetes Leveraged ETFs fraud Currency Offset Customer Files Election Kennedy Mary Schapiro Criminal Jon Corzine BrokeandBroker.com Self Reporting Elon Musk 10b-5 3Cir Fiero Bartko Rule 420 Lek Exotic ETF Wells Fargo Advisors Springsteen Quasi Governmental State Actor Mattera US Airways Cellphone NRSRO BBVA QuadrigaCX Confidential Customer Information Blank Forms Cherry Picking Johnson Non Solicit Expense Books and Records AAA Sharing Agreement Scam Work Product Koval MSPB ADR Coin Bob Dylan Reverse Merger Falsification false statements Solomon Guardian Preet Bharara Non Compete CAT Romer Capital Gains Relevant Motion to Compel Well Managed Portfolio Tippee Series 66 Tipper Women Customers Collateral Res Judicata Capitalism Age Discrimination Advisor Placement Group Securities and Exchange Commission UIT Silver Proctor Apartment securities industry commentator ADEA Reuters 6Cir Compliance Questionnaire Fraudulent Inducement Altered Records ALJ Grimes Regulation S-P Lee Executrix Obamacare Anderson Stock Promotion Evidence Cryptocurrencies Copyright SEC Rules of Practice Merrill Reform FDA Berthel Fisher Janney Montgomery Scott Theft Compliance Officer Liquidation Murray Pacifico Pension Mary Jo White Rule 2330 NoCA Kenneth Starr PHC DWI Reasonable Rule 3310 Disparate Treatment Molchatsky Retired Woman With Cane Tennis Court Salman Non-Prosecution Agreement Bank Guarantee NML Statute of Limitation Diamonds Credit Repair Covid-19 Martoma Lewis Carroll Microcap Kierkegaard Orders FMLA William Faulkner Bribe Daspin Beneficiaries Martin Spam Life Settlement Taxes SD Undercover Trader Crime Subway Costa Rica Legend Confirmation Nationwide Flash Drive FTC FINRA Small Firm Sterne Agee 1099 Finra Turbeville Rule 3210 Conflicts Bezos Nasdaq Witness Tampering Rule 9554 Lawyers Excel Powell FINRA Board Branch Manager Office of Special Counsel Prime Bank Personal Information Prudential Self Directed Preliminary Determination Gifts State Farm Saad JPMorgan Chase Galleon Promoter Newbridge Deferred Prosecution Agreement HBO Lexicon Practice Sale Restitution Clayton Investacorp Risk SIPC Irreparable Harm iPhone Books And Records Broy Hertz Reason for Termination DPA AIG Sears Supervisor Transfer House Financial Services Series 79 Banks Unauthorized Trades MBS NY Life Immunity Cybercrime Wages Grievance Boyland Gabelli Wire Transfers Bill Singer BrokeAndBroker Game of Thrones Wires Short Sale Goble Compromise FCPA Ethics Fee National Securities FNI Media Bill singer Sex Production NFA Willfull Kent CMO Tran EDPA Travel Countrywide Oilpro Chase Bank Payroll Fourth Amendment McCartney NYG Capital Laser 8210 GAP Service Initials Municipal Advisor Texas State Securities Board Merger Constructive Discharge Exception Reports Trainee Fee Brokeandbroker.com Retroactive Retroactive Bar Permanent Bar Walter Collateral Bar Life Insurance Undertaking Financial Disclosure Baby Boomers In House Counsel Hugh Hewitt BitTorrent Stephen A. Kohn Relevant Disciplinary History Chevron NDCA God Eric Stein Pruco Principal Municipal Bonds ETFs Binary Options Impersonator Varney AWC. FINRA Obama Outside Counsel RRBDLAW Summary Judgment Enforcement Expert Witness Honorarium Spoliation Annual Audit 17a-5