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