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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Failure to Supervise Eligibility Rule E*Trade Rule 3010 RRBDLAW.com Continuing Education Scottrade Stay Hacker Unfair Competition Identity Theft Registered Rep Magazine Annual Compliance Questionnaire Forex employment Wedbush Stockbrokers Hacking Options Letter of Authorization brokeandbroker Reimbursement FINRA Arbitration Disclosure Audit Fiduciary Malware JPMorgan Solicitation Customer Social Media LIBOR Customer Complaint Retirement Website Variable Annuities arbitration jobs Apple Registration Prison Rule 3050 Away Accounts Rule 12805 TRO Solicited 2nd Circuit Sexist BrokeAndBroker Bill Singer Rule 4530 FINOP Wey Second Circuit Net Capital Broker Protocol Will Arbitraiton Deceased Trading Platform Sanctions Plea 10Cir Reg SP Judgments Brummer Unauthorized Trading China Unsuitability BOP BrokeAndBroker.com Blog IC3 Commission FOREX Sexism OWB BrokeandBroker Lehman Divorce ACQ Hilton Weiner Telephone Unsolicited Dissent Time And Price Willfully RRBDlaw.com Newman RMBS Personal Expenses Motion to Dismiss MetLife Private Securities Transactions Zipper Bureau of Prisons Internet Private Placement Piwowar Marijuana Knight Postponement Disgorgement DOL Hedge Fund Check Kiting Cheating Rule 2150 Emails Indemnification Confidential Information Rule 2111 Examination Rule 12200 MC-400 WSPs NYAG bill singer Auction Rate Securities Statute of Limitations Stifel Nicolaus Dakota Securities Securities Industry Commentator ADA Rakoff Spoofing Explained Decision REIT Protocol Joshua Brown Testimony FNMA Crowdfunding Lucia Self Regulation Trump Obstruction of Justice Stifel Unjust Enrichment EIA Rule 13805 Phishing Khuzami Charge Class Action Jurisdiction Ketchum OIG Executor Wine Bonds Aleynikov Churning Pennystock Mutual Funds Wire Transfer Compensation Rule 3110 Board Sanction Guidelines Reg D Imposter Fees Hurry Rule 2081 Banc of America Waiver Affiliate Debit Card Botkin Discrimination Passcode Shah Gilani JOBS Act Medicare Affinity Fraud Stanford Confidential PN IPO Retaliation Appointments Clause Article V Conflict Check Bandimere Regulation SP Elder Abuse 9Cir Oppenheimer PNC SAC OSHA Due Process MF Global Rosenthal Recruiting Woody Allen High Frequency Trading Raiding Morgan Keegan Vacatur Lawyer Bloomberg Gold Margin Call Charles Schwab Side Bar Kon CEO Whitman Johnny Burris TD Ameritrade Guitron Severance Yesenia Guitron Online Blockchain Smith Barney Suspension Pennystocks Concentration Testing TOD Government Accountability Project Parking HSBC Rule 3030 Termination Corruption Trade Secrets Reg S-P Hearing Private Placements Bid Rigging USERRA Cannabis 6th Circuit 401k Vault Loans Rule 4513 Employment Agreement Membership Continuance Statutory Disqualification Committee ING Unregistered Corzine Commodities Fraud TSSB Disability SunTrust Failure To Supervise Day Trading AML Mutual Fund Whistleblowing Crypto Casino Finder\'s Fee Charity Morgan Stanely Restaurant Penson Laptop Dementia Embezzlement McDuff Bank Fraud CE Confirm Morgan Stanley Smith Barney Customer Information Puerto Rico Information Mother Eligibility Series 7 Widow Rule 9552 Bear Stearns Written Supervisory Procedures Consent Order Statement of Corrective Action White Self Regulatory Organization Small Firm Governor Poteroba Accounting Chief Compliance Officer Aguilar Vietnam Marine Corps Ride the Thunder NPR Sales Assistant Deferred Compensation Marketplace Teleconference Marines Unsuitable Rule 13200 Obstruction Standing Red Flags Rule 2370 Commodities Department of Justice OCIE Non-Solicitation Wanger Subpoena Congress Settling Away FOCUS BD Christian Stanley FINRA AWC Florida Taft Correctional Institution Reverse Life Insurance SP Password Elles Layering Timban Motion Withdrawals TIC Circuit Court Counterfeit Outside Accounts PAQ Motion to Vacate Hospital Regulation Escrow Turnover Research Medical Condition Star Wars ACH Tortious Interference Do Not Call 40 Act Board of Governors Dell BATS Joint Account Sexual Harassment Fowler Leveraged ETF Public Interest RRBDlaw Chiasson Arrest Kiting Guest Bloggers Probate Fifth Amendment Schneiderman Sharemaster CGMI Moon Feigenbaum Robert Cook Money Market signature Inside Information Chase Investment Services 11th Circuit FCI Beaumont FCI Fine WaMu Thain BrokeAndbroker Credit Suisse Rule 2210 Rule 1031 Netschi Nietzsche VXX Moore Counterclaim Tax Fraud Manifest Disregard Elder Law Investor Alert Third Party Vendor Outside Account Stop Loss Verbal Discretion CNBC Rule 9216 Constitution Inmate OWWP Female Investment Adviser Scottsdale Inability to Pay Stockbroker Federal Reserve David Sobel Broke And Broker Administrative Remedies Jennifer Tarr Unauthorized Practice of Law Negligence Argentina expungement 9/11 4Cir Cold Spring Advisory Group Backstage Wall Street Rule 12504 TheBlot Form ADV Stipulated Award Over Concentration 401(k) CPA Lincoln Financial Equity Indexed Annuities BrokerAndBroker.com Client Information Judgment Commissioner Stein IAR Oral Discretion Scholander David Lerner CRS Securities and Exchange Commission Rule 2330 Broy Koval Capital Gains Retired Woman With Cane Mattera Molchatsky Murray Cybercrime CD Kennedy Grievance FAA Tennis Court Financial Disclosure Meals RRBDLAW Quasi Governmental Texas State Securities Board Oilpro House Financial Services Varney Kent Puts Selling Away SIFMA LLC Kenneth Starr BIll Singer Relevant FMLA Motion to Compel FCPA AXA Johnson Leveraged ETFs Collateral US Airways Cellphone Initials Retroactive Bar Privilege Solomon 8210 Spoliation Prime Bank McCartney Taxes Work Product Excessive Trading JPM iPhone Hugh Hewitt AWC. FINRA Nasdaq Mary Jo White Reverse Merger Supervisor Subway Excel Willfull Compromise Short Sale Skimming Naskovets Wires Wire Transfers Trader Scam Exhaustion Doctrine SEC Rules of Practice Evidence Merill Lynch MBS Office of Special Counsel Father Reform Sarbanes Oxley Bill singer Newbridge Rule 420 Electronic Communications Permanent Bar Compliance Officer Tippee Tipper EDNY CMO Wells Fargo Advisors BrokeandBroker.com Theft Customer Files Disciplinary History Sexual Discrimination Expense Apartment Google BrokeAndBroke Martoma Janney Montgomery Scott MSPB Mary Schapiro Rory Flynn Immunity Rule 12212 Fiero Blank Forms Pension Motion To Dismiss FDA S&P DWI Fines Criminal Goble Flash Drive Offset Currency Texting Pacifico Salman Bank Guarantee Martin Non-Prosecution Agreement Lewis Carroll Statute of Limitation Credit Repair NML Trading Outside Counsel Resignation Cherry Picking SD Obamacare Liquidation 1Cir In House Counsel Summary Judgment Dinner Preet Bharara Nationwide Expert Witness Sex Altered Records Chevron Turbeville Merrill Attorneys\' Fees Lee Newport Coast Securities Galleon Anderson Jon Corzine Annual Audit Mistake PIABA Advisor Placement Group Checking 9th Circuit Conflicts 17a-5 Executrix Silver Fiduciary Duty Springsteen Bribe FTC Sharing Agreement Lawyers Ethics Payroll Reuters Practice Sale Pruco Proctor Funds Laser State Farm First Amendment Coin CDO Chase Bank Merger Regulation S-P Trainee Fee false statements Non Solicitation Costa Rica ADR Bitcoin Compliance Questionnaire Undercover Travel Slander BitTorrent 1099 God BBVA Women Sears Rules of Practice FINRA Small Firm Enforcement Lek Data Countrywide Tran GAP Reason for Termination Witness Tampering Constructive Discharge Impersonator Undertaking Microcap Elder Fraud Cryptocurrency NFA Disparate Treatment Boyland Bill Singer BrokeAndBroker Falsification NRSRO Test Center Baby Boomers AAA Walter Promoter Diabetes Kierkegaard Risk Fourth Amendment Finra Books And Records Retroactive Attorneys Fees AIG Death Stephen A. Kohn NYG Capital Municipal Advisor Collateral Bar FNI Media Schumer Hertz Fee FINRA Board Brokeandbroker.com Elon Musk Wages Customers Gabelli Spam Service Bartko Books and Records Dow SIPC Branch Manager TCR Stock Promotion Eric Stein Personal Information