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Bill Singer is a securities industry attorney who advocates on behalf of small- and mid-sized broker-dealers, registered persons, whistleblowers, and defrauded public investors.
Some Expense-ive Lessons
By: Bill Singer, Publisher of RRBDLaw.com and BrokeAndBroker.com
[A]ssuming that FINRA is justified in disciplining registered persons who abuse the business expense process, why do we see so little... Read On
According to a new poll, 76% of Washington insiders say financial regulation will head to desk of President Obama in 2010. The House in December passed a wide-ranging package of regulations. Senate Banking Committee Chairman Dodd said Friday bipartisan negotiations on his panel reached an impasse an... Read On
Apparently I'm forced to post a privacy policy, so regular readers can feel free to ignore this. But know this: I will never provide your e-mail address or other contact information for any reason.Third Party Advertiser Cookies andWeb BeaconsThis web site participates in SixApart Media, a compre... Read On
I'd post this on my Wall, but none of my FB friends would understand it!Got a follow-up email to my last post on this subject from a reader--a firm in Austin, Texas that may have just the tool you need to keep up with FINRA's demands. Check out Socialware's "Risk Manager" product. On the surface, So... Read On
Don Warner Reinhard, Exchange Act Rel. 61506, February 4, 2010A Commission ALJ barred Reinhard from associating with any investment adviser based on a federal court order enjoining him from anti-fraud and other securities law violations. The injunction was entered by default and upheld by the court ... Read On
Our friends at Employee Benefit News Legal Alert published one of those "must read" articles. Attorney Cynthia Marcotte Stamer writes Tough Times Are No Excuse for ERISA Shortcuts.
Ms. Stamer correctly points out that irrespective of the business hardships that plan sponsors are f... Read On
In a prior blog post, I listed my Do Not Buy List of products typically sold by broker/dealers and their registered representatives, but sometimes sold by unscrupulous investment advisors and non-registered people purporting to be investment advisors. The main reason that they sell these is bec... Read On
About a month ago, I contacted one of the founders of Kickstarter about using it to raise funds for a due diligence trip to Alloy Steel International's headquarters in Perth. I wrote,I know from the Kickstarter site that you're currently only accepting projects through invitations, but I think mine ... Read On
