Archive
2010 (181 entries)
- Gross Abuse: PIPEs Hosing -- an update and conclusion
September 1, 2010 - Former Ameriprise Employee Says Firm Lied to Him -- and FINRA Panel Forgives Promissory Note Debt
September 1, 2010 - Former UBS Employee Settles With Firm and Obtains Expungement of U5
August 31, 2010 - Elusive FINRA Reform
August 28, 2010 - In Defense of Family Values and Unequal Pay for Women
August 27, 2010 - Charles Schwab Survey Offers Upbeat Forecast.
August 25, 2010 - Wells Fargo / Wachovia Wins And Loses Against Former Employee
August 25, 2010 - Spousal Cases: Till FINRA Do Us Part?
August 24, 2010 - RRBDLaw.com: New FINRA cases online and analyzed by Bill Singer
August 20, 2010 - GUEST BLOG by David M. Sobel, Esq.: High Frequency Trading
August 19, 2010 - A Nasty Partnership Split
August 17, 2010 - A Mother and Son's Real Estate Deal Goes Sour.
August 16, 2010 - One FINRA Arbitration.Three Respondents. Three Different Outcomes.
August 16, 2010 - A Whopper of A Story (or should I say a Big Mac?)
August 13, 2010 - Registered Rep. Magazine: Bill Singer's August
August 12, 2010 - TIAA-CREF and Wachovia in 529 Plan FINRA Arbitration
August 11, 2010 - Morgan Stanley Agrees to $800,000 Research Report Fine
August 10, 2010 - Another Pro Se Respondent Settles a Promissory Note Case
August 10, 2010 - Citigroup's MAT Five Headache Continues -- but not for the stockbroker here.
August 9, 2010 - Two Margin Wrongs Equal One Right?
August 6, 2010 - UBS Loses $80 Million ARS Arbitration
August 4, 2010 - One Egregious, Punitive FINRA Arbitration and One Inexplicable FINRA Arbitration Award.
August 2, 2010 - You Snooze, You Lose -- FINRA Arbitration Deemed Too Old to Proceed
August 2, 2010 - The $600 Million Teddy Bear Case Continues to Move Forward
August 2, 2010 - Bill Singer in Huffington Post: Phony Online Press Releases Touted by Stockbroker
July 30, 2010 - Last Man Standing Gets An Expungement
July 30, 2010 - Wells Fargo / Wachovia awarded promissory note balance, overpaid commissions, and trade errors
July 29, 2010 - FINRA Panel Rules Against Wells Fargo / Wachovia -- but was it a victory or loss?
July 28, 2010 - Mistake: Why Goldman Sachs Channels Richard Nixon and Watergate
July 26, 2010 - FINRA Arbitration Case: The $21 Million Broker Recruiting Protocol Claim
July 26, 2010 - Barbie and Bratz Battle. Demure versus Urban, Multiethnic, and Trendy. Farting Fred.
July 22, 2010 - FINRA Regulatory Cases Analyzed by Bill Singer. Major SEC Case Explained. E*Trade Problems Disclosed.
July 22, 2010 - FINRA Arbitrator Orders Expungement of Defamatory U5
July 21, 2010 - Huffington Post Article: Daniel Dravot, Goldman Sachs, and the SEC by Bill Singer
July 20, 2010 - New FINRA Monthly Disciplinary Cases Now Online and Analyzed at BrokeAndBroker.com
July 20, 2010 - BrokeAndBroker Broke The Story First! Read About FINRA's E*Trade Regulatory Cases. @ $500,000 in Fines
July 19, 2010 - Significant New SEC Ruling: Compliance Officer Slammed Over Emails and Instant Messages
July 19, 2010 - FinReg. Goldman Sachs. Oh, puhlease . . . gimme a break!
July 16, 2010 - Wall Street Reform: $5 Worth of No Substitutions by Bill Singer (Huffington Post / Business)
July 14, 2010 - FINRA Arbitration Panel Hits Losing Customer Claimants With Sanctions
July 14, 2010 - Vote for Small Firm Petition Candidates. Vote
July 13, 2010 - Bill Singer's New Huffington Post Column: Moffat's Sex and Nietzsche's Memory
July 12, 2010 - Performance Anxiety? FINRA Arbitration Panel Orders Cure.
July 12, 2010 - Moffat's Sex. Nietzsche's Memory.
July 8, 2010 - Guest Blog (Chepucavage): Limiting the Paul Anka Finder's Fee Exemption
July 8, 2010 - Eliot Spitzer Leaves the Farm for Wall Street
July 6, 2010 - A Pro Se Respondent and a Lawyered-Up Respondent: Similar Cases -- How did they fare?
July 6, 2010 - Bill Singer's July 4th Holiday Rant Now Online at Huffington Post. The Fireworks Start Early!!
July 2, 2010 - Securities and Exchange Commissioner Luis A. Aguilar 's Sage Words About Effective Regulation
July 1, 2010 - Former Associated Persons Slam FINRA Member Firms in Arbitration.
June 30, 2010 - What's the Big Deal About Transposing Your Clients' Phone Numbers? FINRA Has An Answer!
June 30, 2010 - The Supreme Court's PCAOB Ruling and Wall Street's Self-Regulation
June 29, 2010 - Supreme Court Rules PCAOB Construct Partially Unconstitutional -- Terminable At Will Is New Standard
June 28, 2010 - Broker Loses EFL / Promissory Note Arbitration But Wins Dramatic Counterclaim
June 24, 2010 - Supreme Court's Opinion on Skilling v. U.S. Now Online At BrokeAndBroker.com
June 24, 2010 - A Hobson's Choice for Pro Se Respondents in FINRA Arbitrations
June 24, 2010 - FBI Warns of Phone Scam That Ties Up Your Line -- Targets Your Bank or Brokerage Accounts
June 22, 2010 - Grant Thornton LLP IPO Market Study: Dysfunction fueling unemployment and hurting IPOs.
June 22, 2010 - A Hobson's Choice For Pro Se Respondents in FINRA Arbitrations
June 21, 2010 - TV Pastor and Radio Host Caught in Criminal Securities Frauds
June 21, 2010 - The UK Junks Its FSA, When Will We Junk The SEC
June 19, 2010 - The UK Junks its Financial Services Authority (FSA) -- When Will the US Junk its Securities and Exchange Commission (SEC)?
June 17, 2010 - RRBDlaw.com: New June FINRA Cases Now Online and Analyzed by Bill Singer
June 16, 2010 - Wall Street's Shame: Elderly Clients As Victims of Fraud
June 16, 2010 - Bill Singer May Or Chimay Not Be Kidding.
June 14, 2010 - The SEC finally puts the horse before the cart with new circuit-breakers rules.
June 11, 2010 - Bill Singer's Huffington Post Columns: A prominent jeweler's fraud. A Chinese-based company's bookkeeping errors
June 11, 2010 - Texas Man Pleads Guilty in Criminal Forex Ponzi Scheme
June 9, 2010 - NYSE-Traded Chinese Company CYD Settles Accounting Case with SEC
June 9, 2010 - Outside Business: Why Employers Hate It
June 7, 2010 - Diamond Dust: Prominent Cuban-American Florida Jeweler Named in Affinity-Fraud Ponzi Scheme
June 3, 2010 - Somehow, Someday, Somewhere -- a FINRA Customer arbitration.
June 3, 2010 - Da Big Kahuna Indicted For Securities Fraud
June 3, 2010 - SEC Charges Unregistered Brokers From Unregistered Firm Sold Fictitious Securities in Affinity Scam
June 1, 2010 - Not Much in the Name of Progress: Pequot, Samberg, and Martha Stewart
May 28, 2010 - FINRA Arbitrator Tosses Raymond James Case. Bloomberg's Susan Antilla Critiques SEC's Schapiro.
May 28, 2010 - When You Wish Upon A Star You Go to Jail: New Disney Insider Trading Case
May 26, 2010 - Public Customer Wins FINRA Arbitration But Comes Out a Loser
May 26, 2010 - IBM's Acquisition. Wachovia's Widow Loss.
May 24, 2010 - Wall Street Blackjack Player Busts, Busted, and Barred
May 23, 2010 - Broker-Dealer Cited by SEC for Lacking Curbside Appeal
May 20, 2010 - UBS Wins $800,000 Against Former Employee, Who Wins $300,000 Against UBS.
May 20, 2010 - Vote for John Moloney for FINRA Small Firm Board of Governors
May 19, 2010 - An Inexplicable FINRA Customer Arbitration. RRBDlaw.com Cases of Note Now Online!
May 19, 2010 - LOST: One Securities and Exchange Commission Regulatory Priority
May 18, 2010 - Vote for Karen Z. Fischer for Small Firm Governor
May 17, 2010 - Wall Street Con Artist Gets Three Bites on One Hook
May 17, 2010 - Vote for Howard Spindel for FINRA Small Firm Governor
May 15, 2010 - American Public Media's Marketplace Radio: Bill Singer Comments on Flash Crash
May 15, 2010 - Bill Singer in Huffington Post; Registered Rep. Magazine, Forbes, and on Bloomberg TV
May 14, 2010 - Driving Ms. Schapiro in a Vehicle for Discussion
May 13, 2010 - Time for a FINRA Tea Party
May 12, 2010 - Giving FINRA the Silent Treatment -- And Getting Barred for It.
May 7, 2010 - Citigroup is Dunne-in By FINRA Arbitration Loss
May 7, 2010 - Let's All Settle Down: Former Employer and Employee Work It Out At the Last Minute
May 6, 2010 - An Instructive Employee Promissory Note Case (FINRA Arbitration Case)
May 6, 2010 - Time for a FINRA Tea Party. Out With the Old. In With the New.
May 5, 2010 - E*Trade Baby Craps on Desk. Transfer Requests Lost.
May 5, 2010 - Didn't Gary Cooper Have A Gun in High Noon?
May 3, 2010 - Sexual Orientation/Religious Discrimination Arbitration. NOTE: Legal Counsel Job Opening.
May 3, 2010 - Broker Wins FINRA U5 Defamation Arbitration -- Sort of, maybe, perhaps?
April 29, 2010 - Registered Rep. Magazine: The SEC's Fumbling, Bumbling Continues
April 28, 2010 - The Con's Con: An FBI Warning
April 27, 2010 - While the Senate Holds Goldman Hearings, Here Is What You're Missing (Cleverly hidden, perhaps?)
April 27, 2010 - A Marginal FINRA Arbitration With A $44.99 Twist At The End
April 27, 2010 - Bill Singer Featured in CNBC's Jane Wells' "Funny Business"
April 26, 2010 - Bill Singer Comments on SEC Porn Surfing. Offers Advice.
April 23, 2010 - Goldman on the Bridge: The Firm That Would Be King
April 22, 2010 - Bill Singer: One Lawyer. Has Pin. Will Pop All Overblown Legal Balloons
April 21, 2010 - Why Wall Street Reform Is Doomed to Fail. A Case in Point.
April 20, 2010 - Continuing Education -- continuing headache for industry (Guest Blog by Warren Forest)
April 19, 2010 - SEC v. Goldman Sachs: Regime Change or Crowd Control? In-depth analysis by Bill Singer.
April 18, 2010 - Wall Street Sweethearts (Partners in Crime)
April 15, 2010 - SHOCKING FINRA Regulatory Settlement Involving Merrill Lynch
April 15, 2010 - Beware the Trojan Horse (from Russia)
April 14, 2010 - FINRA Employment Arbitration: Never Mind
April 13, 2010 - Two Citigroup FINRA Arbitrations. Another Arbitration with an Odd Settlement -- or was there one?
April 12, 2010 - Expungement of Defamatory, False Customer Allegations
April 9, 2010 - FINRA Arbitration Sanctions Frivolous Motion and Awards Punitive Damages
April 9, 2010 - Industry Respondents Win Two Stunning Arbitrations
April 7, 2010 - UBS Loses An ARS Case -- Are Consumers Lost in a Regulatory Wasteland?
April 7, 2010 - Forbes.com Intelligent Investing All-Stars: Tax Season -- calling all amateurs?
April 6, 2010 - FINRA Ponzi Case: Divide and Conquer
April 5, 2010 - A FINRA Suitability Case -- and an Arbitrator Who Does His Job!
April 5, 2010 - FINRA U5 CRD Expungement: We Have Two Winners!!
April 1, 2010 - H&R Block Wins Promissory Note Arbitration
March 31, 2010 - New Custody Rules. BrokeAndBroker.com Rated Top Site by FINS/Bull & Bear Report
March 29, 2010 - BrokeAndBroker.com: A Man For One NASD Season
March 28, 2010 - Insider Trading: Frequent Flyers, Potatoes and Macy's
March 25, 2010 - The SEC: The Great Pretender
March 24, 2010 - BrokeAndBroker.com: Featured Blogger and New Service Providers
March 23, 2010 - Internet Crime Report: All Too Familiar?
March 23, 2010 - Of Hijacked Brokerage Accounts and Not-so Free Lunches
March 22, 2010 - Where's Waldo: Find the Name of JP Morgan's Vice Chairman in the SEC Report
March 19, 2010 - Yet Another PIPEs Hosing: Lawyer Facing 20-year Sentence
March 17, 2010 - Selling Your Book of Business: One Arbitration At a Time
March 17, 2010 - Twofer One Special: FBI "Top Ten" Anniversary and Suitability Story
March 15, 2010 - Major Raiding Case Goes to Arbitration
March 15, 2010 - SEC Case: Heads I Win, Tails You Lose
March 15, 2010 - Millstein Sued Oppenheimer for $1.5 Million. Would You Like the $20 Main Course Poultry?
March 12, 2010 - You Have Email: Give Me Your Money or Your Life
March 9, 2010 - Josh Brown's "the Reformed Broker" Hits Another Nail on the Head
March 9, 2010 - New York Post Reporter Peter Lauria Poses an Ethical Puzzler
March 8, 2010 - Forbes.com's "The Street Sweeper" Column Now Online
March 5, 2010 - Funny Business by Jane Wells -- CNBC's Finest Is At It Again!
March 4, 2010 - Yet Another Wall Street Stripper Case
March 2, 2010 - Hey Harry -- the fish stinks from the head down.
March 1, 2010 - What Is On First? No, what is on second. Who is in arbitration.
February 25, 2010 - Gross Abuse: Broken PIPEs
February 24, 2010 - SEC's Salvatore Sodano Saga Suddenly Stops
February 23, 2010 - New FINRA Borrowing and Lending Rule Approved by SEC
February 22, 2010 - Customer Puts Big Arbitration Hurt on FINRA Firm
February 22, 2010 - February FINRA Cases of Note Now Online
February 19, 2010 - Goldman Sachs Sacked by Computer Programmer
February 18, 2010 - Is Nothing Sacred? Identity Theft Hits Federal Reserve Bank of New York
February 17, 2010 - What We Got Here Is Failure to Communicate: An odd FINRA arbitration
February 11, 2010 - Former Broker Avoids Full Repayment of $142,000 Bonus
February 9, 2010 - High-Profile FINRA Arbitration BECK-ons once more.
February 9, 2010 - A Twofer: Street Legal (Registered Rep. Magazine) and The Street Sweeper (Forbes)
February 4, 2010 - Earn $1 Per Postcard -- at home!!!
February 4, 2010 - Bill Singer Admits SEC Had Hard-on For Bad Guys
February 2, 2010 - An All Too Human Appeal
February 2, 2010 - Have I Got a Gold Mine Deal for You (seriously)
January 29, 2010 - SEC Refuses to Admit or Deny Climate Change (but provides guidance)
January 27, 2010 - Forbes.com / Intelligent Investing: Nero's SEC Violin Concerto
January 26, 2010 - The Great Debate: FINRA
January 25, 2010 - FINRA Fires (Streamlines) Five Regulators
January 21, 2010 - RRBDLaw.com: New FINRA Cases Analyzed by Bill Singer
January 21, 2010 - Customer Complaint Problems at TIAA-CREF
January 20, 2010 - Act Now! Loan Program Investment Participation Units
January 19, 2010 - What A Child Sexual Abuse Case Teaches Wall Street
January 14, 2010 - The Regulatory Woodshed
January 14, 2010 - The SEC's Dollar-Short-and-Day-Late Reforms
January 13, 2010 - Coalition Accuses Brokers and Insurance Agents of Spreading Misinformation
January 13, 2010 - Integritas et Probabiliter
January 12, 2010 - Maestro Regulatory Lawyer Writes About Pile Boulevard
January 11, 2010 - Take the Bank Robber Test
January 8, 2010 - Did You Hear the One About the CEO, His Parents, and His Divorced Sister?
January 7, 2010 - Unregistered Securities: Unless and Unlawful
January 6, 2010 - Elder Financial Abuse: A growing Wall Street problem
January 4, 2010 - NEW FINRA Cases Analyzed by Bill Singer at RRBDLAW.com
January 4, 2010
2009 (174 entries)
- Wall Street's Galleon Case: A New Ending for the Movie Casablanca?
December 23, 2009 - Bill Singer On Bloomberg TV: Implications of Galleon Indictments
December 21, 2009 - A Ralph Kiner Story for Wall Street:
December 16, 2009 - The Pink OTC Market Says FINRA's Proposal Unlawful and Unconstitutional
December 16, 2009 - Let's Tax Wall Street Out of Business?
December 14, 2009 - Rep. Bachus's FINRA Amendment Flames and Crashes -- thankfully!
December 12, 2009 - The EU's Tax-And-Spend Plan: Noah's Umbrella
December 11, 2009 - Regulatory Budget Crisis (wink, wink, nod, nod, say no more)
December 8, 2009 - Back at Black: Honest Services . . . indeed!
December 8, 2009 - The Fiduciary Standard: Battle Lines Are Drawn
December 8, 2009 - The Gates of Hell: Bill Singer's Take on 3 FINRA Cases
December 7, 2009 - RRBDlaw.com: November FINRA Cases Online
December 1, 2009 - Going Public -- Are IPOs coming back in style?
November 25, 2009 - Facebook: NY Post Reporter Paul Tharp Uncovers an Interesting Story
November 20, 2009 - American Express Eats Competition (Forbes.com)
November 20, 2009 - Need to Cheer Up for the Holidays? Here's my advice!
November 17, 2009 - Customer Disservice : Bill Singer's online shopping saga with Dell. (Forbes.com)
November 13, 2009 - Bill Singer, William Cohan, and Arthur Levitt Comment on Cioffi / Tannin Verdict
November 11, 2009 - Bill Singer Live on Bloomberg TV (Bear Stearns Hedge Fund Case Goes to Jury)
November 5, 2009 - Bachus Amendment DOA? New "Street Legal" Column Online
November 4, 2009 - Rep. Bachus Slips One In (and not everyone is cheering)
November 3, 2009 - Wimpy Will Pay on Tuesday -- and Congress will likewise legislate.
November 2, 2009 - October FINRA Cases Updates Analyzed by Bill Singer
October 26, 2009 - Go to the FBI Cold by Bill Singer, Forbes Intelligent Investing
October 24, 2009 - Bill Singer interviewed on RepTV
October 22, 2009 - Senator Ted Kaufman Comments on Naked Short Selling
October 21, 2009 - A Biblical Take on Wall Street's Regulatory Reform
October 19, 2009 - Wall Street's Employment Outlook with Stuart Rosenthal, Rosenthal Recruiting.
October 19, 2009 - The FINRA Trojan Horse
October 9, 2009 - BULLETIN: COO Employment Opportunity
October 9, 2009 - Forbes Intelligent Investing Panel: A Lost Decade for US?
October 8, 2009 - Who Sits At the Head of a Roundtable? Forbes Intelligent Investing.
October 2, 2009 - FINRA's Dubious Report (Madoff, Stanford, et al.)
October 2, 2009 - Dead Dogs of the Dow
October 1, 2009 - Forbes Intelligent Investing: Just the FX, and nothing but the FX
September 28, 2009 - Breaking the Buck
September 25, 2009 - Congress Tackles Reform: What Is the Point?
September 24, 2009 - RRBDlaw.com: New FINRA cases now online and analyzed by Bill Singer
September 23, 2009 - Pay the Piper...and the Whistleblower
September 18, 2009 - U.S. versus the World: Global Recovery
September 16, 2009 - Forbes Intelligent Investing Panel: Plumbing the Recovery's Depths
September 14, 2009 - What President Obama Didn't Say at Federal Hall
September 14, 2009 - Time for a Wall Street Restitution Fund
September 11, 2009 - Pulling Up Weeds at the SEC
September 6, 2009 - Time for Wall Street to Make Restitution?
September 5, 2009 - New FINRA Cases Analyzed at RRBDLaw.com
September 2, 2009 - FINRA Strikes Out
August 26, 2009 - Hurricane Bill -- Like I Haven't Heard That One?
August 19, 2009 - FINRA's Petulance: No Longer a Laughing Matter
August 17, 2009 - Forbes' Intelligent Investing Panel: The Wall Street of Tomorrow
August 17, 2009 - Forbes Intelligent Investing: The Troubled TARP
August 13, 2009 - Of Crystal (and Brass) Balls: Picking Investments
August 13, 2009 - Forbes Intelligent Investing Panel: Hire or Lower? (Yeah, it's a pun)
August 11, 2009 - Death of the Salesman
August 7, 2009 - Here I Stand. I Can Do No Other
August 5, 2009 - Bill Singer Details Regulatory Reform Plan
August 3, 2009 - Of Mortgages and Outperforming the S&P 500 Index
July 30, 2009 - RRBDLaw.com: New FINRA Disciplinary Cases Analyzed by Bill Singer
July 29, 2009 - Forbes Intelligent Investing Panel: Investing in Stock Markets and Airlines (a two-for-one feature)
July 28, 2009 - Okay, so maybe Mary Schapiro wasn't a great stock picker.
July 27, 2009 - Paulson: Thumbs Up or Down ? (Forbes Intelligent Investing Panel)
July 27, 2009 - Eric Clapton, Michael Jackson, and Forbes (with a natural born Singer)
July 24, 2009 - Forbes Intelligent Investing Panel: Investing in China
July 20, 2009 - Forbes Intelligent Investing Panel: Earnings Season
July 17, 2009 - A Double Header: On the Future of Citi and the SEC (with a side order of FINRA)
July 16, 2009 - Painful Lessons -- But are you a better investor for them?
July 15, 2009 - Forbes Intelligent Investing Panel: Luck vs. Skill vs. Talent (Picking Investments)
July 14, 2009 - Cynical? Skeptical? Moi? : FINRA Television Commercials Do Me In.
July 13, 2009 - SEC Still Stumbling
July 10, 2009 - BrokeAndBroker.com: Forbes Panel Tackles BRIC
July 9, 2009 - Forbes Intelligent Investing: Will FDIC Proposal Work?
July 8, 2009 - RRBDLaw.com: FINRA Cases Analyzed by Bill Singer
June 30, 2009 - See Bill Singer's TV Interview on Madoff Sentencing
June 29, 2009 - Madoff's Day of Reckoning (Bill Singer's Forbes Column)
June 29, 2009 - Forbes Intelligent Investing: The Challenge of Funding Your Kid's Tuition
June 26, 2009 - Forbes Intelligent Investing: The Suitability Debate
June 24, 2009 - Forbes Intelligent Investing Panel: Commodities -- buy, sell or hold?
June 23, 2009 - GUEST BLOG (Ron A. Rhoades): Fiduciary Duties
June 22, 2009 - Bill Singer's Forbes Column: Is Congress Retrofitting the Britannic for Wall Street?
June 19, 2009 - As Woody Allen Said -- revisited.
June 19, 2009 - BrokeAndBroker.com: Read the Obama White Paper Plan to Reform Wall Street's Regulation
June 17, 2009 - Two for One!: Forbes Intelligent Investing Panels with Bill Singer
June 17, 2009 - Forbes Intelligent Investing Panel: Interest Rates
June 16, 2009 - Bill Singer to Appear this Sunday June 14th on
June 9, 2009 - Marketplace Radio: Reforms to Derivatives
June 9, 2009 - Economic Recovery or Relapse?
June 5, 2009 - Forbes Intelligent Investing Panel: China
June 4, 2009 - Time to Panic?
June 3, 2009 - Forbes' Intelligent Investing: It's Not Personal -- It's an Institutional Thing
May 28, 2009 - Forbes.com's Intelligent Investing: Future of Regulation
May 26, 2009 - Mr. Obama, Tear Down This Wall !
May 21, 2009 - RRBDLaw.com: MAY FINRA Cases Analyzed by Bill Singer
May 21, 2009 - One Trend Down; One to Go?
May 20, 2009 - Gettin' Freaky Here! Ten Days of Alternating DJIA
May 19, 2009 - SEC Shenanigans
May 19, 2009 - The Amazing Pomegranate NS2008 Cellphone. The next hot stock on Wall Street. I swear. Would I kid you?
May 18, 2009 - Up, Down, Up, Down -- Everyone Getting Seasick?
May 15, 2009 - The Three-Day Chart's Unusual Four-Day Pattern: Something Set to Happen?
May 11, 2009 - Forbes' Intelligent Investing Panel: The Three-Day Anomaly
May 8, 2009 - Rock me baby! We can take it!!
May 6, 2009 - BrokeAndBroker Welcomes Rosenthal Consulting Group (See Job Openings)
May 5, 2009 - Swine Flu: Lessons for Wall Street
May 3, 2009 - Now it's getting scary. Good...but scary.
April 29, 2009 - Three Down Days? Three Dog Night?
April 27, 2009 - What's Love Got to Do With It--ask FINRA.
April 22, 2009 - Forbes Intelligent Investing Panel: Managing Risk in Today's Markets
April 22, 2009 - RRBDLAW.com: New FINRA Cases Analyzed by Bill Singer
April 21, 2009 - SEC's Short Selling Short Shrift
April 17, 2009 - Scraping Together Tuition, Global Crisis, and Natalie Portman
April 17, 2009 - The Trifecta Trend Triumphs!
April 16, 2009 - Is the Trend Your Friend?
April 14, 2009 - Kudos from (and to) retirement planning blogster
April 14, 2009 - The Mysterious Three-Day Trend
April 14, 2009 - The Spring Update from BrokeAndBroker and Bill Singer
April 9, 2009 - Blowin' in the Wind: The Art of Stock Market Forecasting
April 8, 2009 - FINBAR...FUBAR...Not much of a difference
April 7, 2009 - Chinese Affinity Fraud (Variation on the Madoff Theme)
April 6, 2009 - All Aboard -- but do we crash or get to our station?
April 6, 2009 - David Serchuk: Brooklyn Baby Daddy
April 2, 2009 - The Securities-Scam Beast That Won't Die!
March 31, 2009 - PHLX Denied Six-Figure Recovery Against And Suspension of Disgruntled Member
March 30, 2009 - GUEST BLOG (Chepucavage): Uncontrolled Leverage, New Derivatives, and Benign Regulation
March 26, 2009 - Forbes Intelligent Investing Panel: Why the Street Loves Geithner and Short Selling
March 25, 2009 - A Case That Gets Curiouser and Curiouser
March 25, 2009 - No Margin of Error.
March 24, 2009 - Statutory Disqualification Applicants: Keep 'em Out or Let 'em Back In?
March 20, 2009 - Dramatic Second Circuit Decision: Class Action against NASD, NYSE, Mary Schapiro gets second life
March 18, 2009 - Forbes' Intelligent Investing Panel: Wall Street's Gurus
March 18, 2009 - Forbes' Intelligent Investing Panel: Panic and the Market Pros
March 17, 2009 - Forbes' Intelligent Investing Panel: New Bull or Dead Cat?
March 16, 2009 - FINRA Reply to Bill Singer: Lost in the Mail?
March 14, 2009 - The Ties That Bind: A Knotty Problem
March 12, 2009 - Bill Singer Comments on Madoff on TV
March 12, 2009 - The Madoff Case Winds Down: Read the Criminal Information
March 11, 2009 - Silencing the Whistleblower?
March 9, 2009 - Open Letter to FINRA: The Last Tango?
March 5, 2009 - Is Another Regulatory Scandal Brewing: Who is regulating the Exchanges?
March 5, 2009 - 14 Specialists Caught by SEC--better never than late?
March 4, 2009 - The $600 Million Teddy Bear: WG Trading
February 26, 2009 - SEC Sanctions OPCO: Gifts, Gratuities, and Bloomberg Emails
February 25, 2009 - February 23: The Battle of the Alamo Begins! Lessons for Wall Street.
February 23, 2009 - GUEST BLOG: FINRA Should Use the Benefits of Selling NASDAQ and Merging with the NYSE (Chepucavage and Broy)
February 20, 2009 - February FINRA Cases of Note on RRBDLaw.com by Bill Singer
February 20, 2009 - GUEST BLOG: Regulatory Reform in the Obama Era. (Chepucavage and Broy)
February 19, 2009 - Richard Ketchum and FINRA: Time to Answer for his Past?
February 19, 2009 - UBS: You and Us (keep it quiet...we're in this jam together)
February 18, 2009 - Forbes Intelligent Investing Panel: Why the Street Hates Geithner
February 18, 2009 - Bill Singer in the News: Comments on Stanford case and investing in China
February 18, 2009 - NYSE Suitability Case: Illegal Tape Recording Okay Says SEC
February 17, 2009 - Bill Singer Comments on Banks on National Public Radio's Marketplace
February 12, 2009 - Sitting and fuming while watching the politicos and bankers
February 11, 2009 - GUEST BLOG: Hiding the Historic Madoff Settlement
February 10, 2009 - BILL SINGER ENDORSES JAMES
February 10, 2009 - Read Securities and Exchange Commission's Madoff Settlement Release
February 9, 2009 - What's wrong with yelling, cursing, harassing and threatening customers?
February 9, 2009 - The New Word for an Old Problem: NONFEASANCE
February 6, 2009 - Can the SEC Continue to Oversee FINRA ? (By guest bloggers Broy and Chepucavage)
February 5, 2009 - Incompetency versus Corruption: Choose Wisely
February 4, 2009 - Forbes Panel: China's Appetite for Construction and Commodities
February 4, 2009 - Driving a Point Home: Stockbroker Registration
February 3, 2009 - The Cost of Telling a Regulator to Go To Hell (figuratively, that is)
February 2, 2009 - Handicapping the FINRA CEO Race: The Touts Weigh In
January 29, 2009 - FINRA's CEO Search Stumbles at the Gate
January 27, 2009 - FINRA's Unseemly Game of Hide-And-Seek
January 26, 2009 - Schapiro Confirmed: Time to Work Together
January 23, 2009 - January FINRA Cases Analyzed by Bill Singer at RRBDLaw.com
January 21, 2009 - Recent Press for a Cold Winter's Day (No Charge)
January 16, 2009 - Geithner: A Devil's Bargain
January 15, 2009 - Geithner and Mathis: Troubling Double Standard
January 14, 2009 - Read the Madoff Bail Opinion and Order
January 12, 2009 - Sodano and SEC: Remembrance of Things Past
January 9, 2009 - The Sodano Saga Continues:What is "is"?
January 8, 2009 - Of Piranhas and Great Whites
January 7, 2009 - Running on Empty
January 6, 2009
2008 (73 entries)
- The Quote That Has Gone Viral
December 31, 2008 - Forbes' Intelligent Investing: Is Schapiro Enough for the SEC?
December 22, 2008 - Rumsfeld, Neibuhr, Lord Tennyson, Levitt, Cox, and Schapiro.
December 18, 2008 - Have Arthur Levitt's Words Come Back to Haunt Him?
December 16, 2008 - Bill Singer Radio and Television Interviews On the Madoff Scandal
December 15, 2008 - Madoff: Right Under FINRA's Nose
December 12, 2008 - Rules That Are Meant to Be Broken?
December 10, 2008 - SEC Open Letter: Don't Cost Cut. Don't Lay Off.
December 3, 2008 - RRBDLAW.com: FINRA November Cases
November 30, 2008 - Did You Hear the One About the Stock-Picking Lawyer?
November 26, 2008 - What's a Blue Chip Worth: Forbes Panel Part III
November 25, 2008 - Geithner and the Future of Wall Street: A Forbes Panel
November 24, 2008 - Forbes' Intelligent Investing Panel: Heart Attack Markets
November 24, 2008 - Women and Minorities on Wall Street: Part Two
November 17, 2008 - Women and Minorities on Wall Street: New Ad Campaign
November 14, 2008 - Bill Singer and Forbes' Intelligent Investing All-Stars Tackle Wall Street's Regulators
November 7, 2008 - Bill Singer and Forbes.com's Intelligent Investing All-Stars
November 6, 2008 - Private-Sector Regulation: I Told You So!
October 31, 2008 - Bill Singer In the News
October 27, 2008 - A Pat On The Back Too Many?
October 23, 2008 - Regulatory Post-Mortems: Executing the Dead
October 22, 2008 - The SEC's Inspector General's Report: Laocoon dies again!
October 11, 2008 - Raising the Titanic (A reply to my readers)
October 9, 2008 - Of Wall Street, the Titanic, and the Britannic
October 6, 2008 - Slouching Towards Wall Street
September 30, 2008 - We Need a Moses and a Lincoln
September 26, 2008 - So, Bill, Tell Us How You Really Feel.
September 23, 2008 - Why Wall Street Needs Smoke Detectors
September 19, 2008 - As Woody Allen Said
September 16, 2008 - The FINRA Seminar: Breakfast and Lunch with a little crow on the side?
August 15, 2008 - If You Like Sausage, Don't Read This
August 14, 2008 - The International Securities Scam No One Cares About
August 7, 2008 - RRBDLAW.com: July FINRA Cases Analyzed by Bill Singer
August 6, 2008 - NYSE Specialist Convictons Reversed
July 30, 2008 - Did You Hear the One About the Dancer and the Broker?
July 29, 2008 - The End of an Era: Harvey Houtkin
July 28, 2008 - FINRA's Regulatory Mulligan: SEC Not Amused
July 22, 2008 - New FINRA Disciplinary Cases Analyzed by Bill Singer
July 16, 2008 - As Calvin Coolidge Said It Best
July 10, 2008 - The One-Year Suspension that is a lifetime Bar
July 9, 2008 - FBI Victimized by Sloppy Online Fraud
July 7, 2008 - The Cheshire Cat of Wall Street
June 27, 2008 - Bill Singer's Bloomberg Radio Interview on Cioffi/Tannin
June 23, 2008 - The Unindicted Co-conspirators in the Wall Street Hedge Fund Cases
June 20, 2008 - A Generation of Inbred Regulators
June 19, 2008 - John Reid's Take on Senior Citizen Initiative
June 17, 2008 - Charging Commissions on No-Load Funds?!
June 12, 2008 - World Ends at 5. Video at 11.
June 6, 2008 - One Reader Writes In -- and persuasively.
June 2, 2008 - In Response to JoeDaBroker: Now or never
May 30, 2008 - Does FINRA have the integrity to do the right thing?
May 29, 2008 - Is the FINRA Dissident/Reform Movement Dead?
May 28, 2008 - The Dead-Animal Man
May 21, 2008 - A customized, online radio station to help you all chill out
May 16, 2008 - FINRA and Lt. Col. Johnson Matter Appears Resolved!
May 12, 2008 - Ten Years After: The failure to reform Wall Street
May 6, 2008 - Brokerage Firm's Identity Hijacked Online
May 2, 2008 - Bill Singer Discusses Caribbean Financial Markets
April 15, 2008 - A Little Birdie Taught Me (laced with profanity)
April 2, 2008 - Paulson, Regulatory Reform, and the Maginot Line
March 31, 2008 - "I Think": A Must-Read Blog by Sharon Imhoff
March 26, 2008 - Regulatory Double Standard: Dissing your Settlement
March 24, 2008 - Ode to Bear Stearns. Requiescat In Pace
March 17, 2008 - On Spitzer and Nietzsche
March 10, 2008 - Blind, Dumb and Heartless Justice
March 6, 2008 - A FINRA Arbitration Decision to Make You Vomit.
March 5, 2008 - U Sure U Know About U5?
March 4, 2008 - Worth the Toilet Paper It's Written On?
February 25, 2008 - Regulators Slam Mortgage Market Fraud
February 21, 2008 - FINRA: Tool of Management?
February 20, 2008 - FINRA's Egregious Egregiousness
February 19, 2008 - A Deal with Real Firepower!
February 14, 2008 - Regulators: Heal Thyself
January 16, 2008
2007 (10 entries)
- Bill Singer Endorses Small Firm Advisory Board Candidates
December 4, 2007 - CORRECTION TO NOVEMBER REGISTERED REP MAGAZINE
November 16, 2007 - Bill Singer Endorses 5 Candidates for FINRA Board
September 24, 2007 - Bill Singer Supports Nominees to FINRA Board
August 10, 2007 - Bill Singer Severs Ties With FIA
August 6, 2007 - FINRA Board of Governors Nominations: Singer's Acid Test
August 4, 2007 - Bill Singer Resigns from FIA -- for the time being.
July 17, 2007 - When Guidance Is Really Rule-Making
July 12, 2007 - Are First Amendment Rights Now Second-Class?
July 10, 2007 - The Vanishing NASD Governor
April 16, 2007
2006 (8 entries)
- NASD Members: Vote "NO" on Proposed NYSE Merger
December 19, 2006 - NASD and NYSE merger: Multiplying Failures.
November 15, 2006 - Effitti : Online Graffitti . . . a problem seeking a solution
September 28, 2006 - FIA Prompts Historic NASD Reform of Sanction Guidelines
September 27, 2006 - New NASD Job Available --- must have dictionary.
September 22, 2006 - The Office of the Industry's Advocate: A proposal by Bill Singer
September 8, 2006 - Why Is the NYSE and NASD Soft on Racism and Sexism?
March 9, 2006 - An Armistice at NASD --- for now
January 17, 2006
2005 (7 entries)
- Bill Singer Endorses NASD Dissidents in Board Race
December 29, 2005 - NASD Revolt Takes Root
December 28, 2005 - Stockbrokers on Active Duty: No Laughing Matter
June 28, 2005 - Grandstanding on Wall Street: Regulators Play to the Crowd
June 10, 2005 - Watering Down Self Regulation?
May 2, 2005 - NASD Says Raymond James Failed to Supervise. . . but where was NASD?
April 29, 2005 - NYSE and NASD mergers: Slow Them Down.
April 25, 2005