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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Power of Attorney Business Expenses 2Cir Street Legal Bar Exam ATM BrokeAndBroker NYSE Annuities Impersonation Edward Jones Aegis Frumento Facebook Tax Lien Stephen Kohn Mortgage Rule 3280 Margin Bank of America Corrective Action Statement Antitrust Case In Point Small Firm Spouse Wire Tax Liens SRO Complaint Test Appeal Rule 2510 Schapiro Beneficiary ARS Offer of Settlement Schwab Employee Forgivable Loan Misdemeanor Trust NSF Goldman Sachs Due Diligence NASAA Signatures Promissory Notes ETF HFT T&P Securities Fraud Conspiracy Trustee VA Initial Decision Unauthorized Discretion Cease And Desist Loan Chase Annuity Lien Fidelity CFTC Signature POA Flash Crash OTR PCAOB Injunction RBC Deutsche Bank LOA Compliance Away Account DCCir Undisclosed Settlement Credit Cards Huffington Post Barclays NASDAQ Money Laundering Mandatory Arbitration Spouses email RRBDLAW.com MSSB Great Recession Continuing Education Unfair Competition Failure to Supervise Bonus Bharara Gallagher Scottrade Stay Registered Rep Magazine Variable Annuity Burris Lehman Brothers Insurance Liens Identity Theft Hacker Remand FINRA Arbitration Customer Reimbursement Options JPMorgan Rule 4511 Annual Compliance Questionnaire Audit Malware Solicitation Rule 12206 employment E*Trade Letter of Authorization Rule 3010 Stockbrokers Forex Wedbush Eligibility Rule Disclosure Fiduciary Rule 12805 brokeandbroker Registration BrokeAndBroker Bill Singer LIBOR Hacking TRO 2nd Circuit Customer Complaint Social Media Second Circuit Prison Solicited Net Capital Away Accounts Wey Will arbitration Rule 3050 jobs FINOP Retirement Website ACQ Dissent Unsuitability BOP BrokeandBroker Newman RMBS Time And Price Unsolicited Rule 4530 Unauthorized Trading Private Placement Bureau of Prisons Sanctions Broker Protocol 10Cir Motion to Dismiss Brummer Commission Private Securities Transactions Apple MetLife Trading Platform Reg SP Zipper Divorce Willfully Judgments Telephone BrokeAndBroker.com Blog Lehman OWB RRBDlaw.com Internet Deceased IC3 Plea Personal Expenses Variable Annuities FOREX China Marijuana Hedge Fund Protocol MC-400 Indemnification Confidential Information Rule 2150 Disgorgement Piwowar Spoofing Auction Rate Securities Obstruction of Justice WSPs Knight NYAG Stifel Emails Self Regulation ADA REIT Testimony DOL Rakoff Arbitraiton Crowdfunding FNMA Examination Lucia Rule 2111 Statute of Limitations Stifel Nicolaus Check Kiting Explained Decision Cheating Hilton Weiner Rule 12200 Dakota Securities Affiliate Waiver Debit Card Confidential Retaliation Gold Elder Abuse Hurry Appointments Clause Phishing Vacatur PNC Compensation Jurisdiction Woody Allen Securities Industry Commentator Churning Class Action Passcode Board SAC Sanction Guidelines Wine PN Due Process Aleynikov Khuzami Conflict Bandimere Morgan Keegan IPO Banc of America Postponement Ketchum MF Global Pennystock Executor Check Regulation SP Sexist Fees Raiding Medicare Bonds 9Cir Charge Rule 13805 Rosenthal Recruiting EIA Article V JOBS Act Joshua Brown Shah Gilani Lawyer Rule 2081 High Frequency Trading Botkin Reg D Wire Transfer Stanford Unjust Enrichment Affinity Fraud Discrimination bill singer OSHA OIG USERRA Marine Corps Sexism Finder\'s Fee White Imposter CEO Government Accountability Project Commodities Fraud 401k Private Placements Eligibility Membership Continuance SunTrust Consent Order Self Regulatory Organization Laptop McDuff Pennystocks TD Ameritrade Corzine Unregistered Charity Bid Rigging Chief Compliance Officer Oppenheimer ING Vietnam Mutual Fund Smith Barney Whitman Bank Fraud Ride the Thunder Concentration Deferred Compensation Embezzlement TOD Severance Marines Morgan Stanley Smith Barney Aguilar Termination TSSB Parking AML Small Firm Governor Online Series 7 Rule 3030 Statement of Corrective Action Mutual Funds Employment Agreement Restaurant Side Bar Accounting Teleconference Morgan Stanely Failure To Supervise Vault Whistleblowing Johnny Burris Information Yesenia Guitron Sales Assistant NPR Cannabis Written Supervisory Procedures Casino Dementia Puerto Rico Confirm 6th Circuit Mother Suspension Marketplace Disability Day Trading Loans Kon Statutory Disqualification Committee Bloomberg Bear Stearns Penson Guitron Testing Reg S-P Poteroba Hearing Rule 3110 Widow Customer Information CE Charles Schwab HSBC Corruption Tax Fraud Unauthorized Practice of Law Female Investor Alert PAQ Rule 9216 Inmate Scottsdale Judgment 40 Act Do Not Call Inability to Pay Elles Equity Indexed Annuities Stop Loss Escrow CPA Credit Suisse Argentina Stockbroker OWWP Dell 401(k) Thain Investment Adviser Stipulated Award Elder Law Rule 4513 Board of Governors Leveraged ETF Unsuitable Turnover OCIE Administrative Remedies Rule 9552 Over Concentration Florida FINRA AWC 4Cir Commissioner Stein TIC Department of Justice RRBDlaw Counterclaim Chase Investment Services Fowler Third Party Vendor Layering Congress ACH signature Probate Rule 2210 Arrest BD Sharemaster WaMu Feigenbaum Guest Bloggers Robert Cook Public Interest CNBC CGMI Red Flags Settling Away Joint Account SP Regulation FOCUS Outside Accounts Non-Solicitation Password Nietzsche Margin Call Rule 2370 Counterfeit Constitution Kiting Backstage Wall Street Client Information Form ADV IAR Money Market Star Wars Medical Condition Broke And Broker David Sobel Commodities Inside Information Lincoln Financial Moon Scholander Taft Correctional Institution Christian Stanley Reverse Life Insurance Schneiderman BATS Research Chiasson 11th Circuit Motion Fifth Amendment Wanger Trade Secrets Verbal Discretion Oral Discretion Rule 12504 Tortious Interference FCI Beaumont TheBlot Negligence expungement FCI Withdrawals Federal Reserve BrokerAndBroker.com Sexual Harassment Fine Outside Account Motion to Vacate CRS Timban Hospital Circuit Court Netschi Rule 1031 Moore Silver Collateral Bar Retroactive Bar MBS Boyland NRSRO Jennifer Tarr Cold Spring Advisory Group LLC Subpoena Newport Coast Securities Municipal Advisor Bill singer Merrill Resignation Turbeville FNI Media Evidence Merill Lynch Advisor Placement Group Goble Retroactive Rule 12212 NML NYG Capital SEC Rules of Practice Conflicts Bank Guarantee Springsteen Annual Audit McCartney Theft Trainee Fee 17a-5 Laser Outside Counsel In House Counsel Service 8210 FMLA Personal Information Martin Practice Sale BitTorrent BrokeAndbroker Varney Undercover BBVA Wages Liquidation Chevron Data Salman FINRA Board Obamacare Standing Rory Flynn Newbridge Scam Impersonator MSPB Relevant Bartko Office of Special Counsel Anderson Kennedy Reverse Merger Nasdaq US Airways Costa Rica Cellphone Johnson Mattera Grievance Lee Credit Repair Kierkegaard FTC JPM Attorneys\' Fees Permanent Bar Jon Corzine Meals Pension Elder Fraud Leveraged ETFs Collateral Securities and Exchange Commission Slander Apartment Reuters 9/11 Blockchain SIFMA Sharing Agreement Falsification Disciplinary History Texting Constructive Discharge Mistake 9th Circuit Statute of Limitation Excel false statements Privilege Obstruction Books and Records Checking Murray Kenneth Starr Short Sale Summary Judgment Compromise Wires Wire Transfers CD Trader Oilpro Kent Stock Promotion AXA FDA iPhone Supervisor Skimming Naskovets AAA CMO GAP Stephen A. Kohn ADR EDNY Dinner Wells Fargo Advisors Selling Away Koval Test Center Attorneys Fees Spoliation Sexual Discrimination AWC. FINRA Hugh Hewitt Lewis Carroll Subway Crypto Prime Bank FCPA Cybercrime God RRBDLAW House Financial Services Broy Electronic Communications Quasi Governmental Solomon Non Solicitation FINRA Small Firm Tippee Tipper Executrix PIABA Altered Records CDO Rule 420 NFA Fiduciary Duty Reform Lek Fee Books And Records Undertaking Risk Texas State Securities Board Sex Preet Bharara Enforcement Galleon SD Travel Payroll Immunity Funds Customers Brokeandbroker.com Sears Branch Manager Eric Stein Rules of Practice Chase Bank BrokeandBroker.com Mary Schapiro Criminal Countrywide Rule 13200 Initials Proctor Schumer Dow State Farm Willfull Expense Excessive Trading Taxes Nationwide DWI Gabelli AIG Reason for Termination Regulation S-P Walter BIll Singer Diabetes TCR Blank Forms Hertz Flash Drive BrokeAndBroke Puts Customer Files Merger Spam Exhaustion Doctrine Fiero SIPC 1Cir Manifest Disregard Finra Fines Expert Witness Bill Singer BrokeAndBroker Financial Disclosure 1099 Baby Boomers Pruco Compliance Officer Disparate Treatment Cherry Picking Lawyers Compliance Questionnaire Motion To Dismiss Coin Fourth Amendment Bribe Tran Google Janney Montgomery Scott S&P Martoma Non-Prosecution Agreement Ethics Retired Woman With Cane Mary Jo White Pacifico Promoter David Lerner Trading Death Father VXX Currency Molchatsky Tennis Court