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An irreverent Wall Street Blog
by Bill Singer

Topic List for Back Dated (3 results)

  • FINRA Suffers Stunning Rebuke by SEC in Tysk Appeal
    March 8, 2021
  • FINRA Finds (AGAIN!) That Ameriprise Stockbroker Altered and Concealed Evidence in Customer Arbitration
    March 13, 2019
  • Ameriprise Stockbroker Altered and Concealed Evidence in Consumer Arbitration
    May 19, 2016

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Previous Entries

  • FINRA Enters Into Fair Settlement Involving Customer Loans and Outside Business Activities
    April 20, 2021

    There are times when FINRA gets it right. The self-regulatory-organization conducts a diligent investigation and finds a violation of its rules. There... Read On

  • The Mother with an Edward Jones Account and Her Daughter the Edward Jones Branch Administrator
    April 19, 2021

    With surprising regularity, we have reported about families with a stockbroker, and how such a relationship proves fertile ground for over-reaching or... Read On

  • BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
    April 17, 2021

    Insult Added to Injury in Puerto Rico Bond Dispute (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5808/puerto-rico-bond-finra/A public custome... Read On

  • Insult Added to Injury in Puerto Rico Bond Dispute
    April 16, 2021

    A public customer filed a FINRA arbitration claim citing nearly $6 million in losses in Puerto Rico municipal bonds. The Claimant took his place on a ... Read On

  • Desperately Seeking FINRA Arbitration On Remand From Federal Court
    April 15, 2021

    Another day and another dispute about whether an employment dispute is arbitrable before FINRA. In today's iteration, we got two former employees of a... Read On

  • These Foolish Things Remind Me of FINRA
    April 14, 2021

    So . . . the other day, April 9, 2021, I came across another one of FINRA's urgent, all-important, uber-critical Regulatory Notices. This one was numb... Read On

  • First Trades, First Dollars, and the NYSE Celebrates Moments
    April 13, 2021

    On April 12, 2021, the New York Stock Exchange ("NYSE") announced that it would be minting its first Non-Fungible Tokens ("NFTs") in order to memorial... Read On

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About Bill Singer

BILL SINGER is a lawyer who represents securities-industry firms, individual registered persons, Wall Street whistleblowers, and defrauded public investors. For over three decades, Singer has represented clients before the American Stock Exchange, the New York Stock Exchange, the Financial Industry Regulatory Authority (formerly the NASD), the United States Securities and Exchange Commission, and in criminal investigations brought by various federal, state, and local prosecutors. He has the distinction of representing witnesses during Congressional investigations. In 2015, Singer achieved a significant award in excess of $1 million from the Securities and Exchange Commission on behalf of a whistleblower client.

Singer is presently Of Counsel to a law firm and the publisher of the Securities Industry Commentator feed and the BrokeAndBroker.com Blog, which was rated as one of the industry's top eight destination websites and the leading legal/regulatory blog by "Investment News."

Before entering the private practice of law, Singer was employed in the Legal Department of Smith Barney, Harris Upham & Co.; as a regulatory attorney with both the American Stock Exchange and the NASD (now FINRA); and as a Legal Counsel to Integrated Resources Asset Management. Singer was formerly Chief Counsel to the Financial Industry Association; General Counsel to the NASD Dissidents' Grassroots Movement; and General Counsel to the Independent Broker-Dealer Association. He was registered for a number of years as a Series 7 and Series 63 stockbroker.

Singer regularly appears as a commentator on television and radio, and is frequently quoted in the press. He is an outspoken critic of ineffective regulation and an advocate for economic and political sanity.

  • Email: rrbdlawyer@gmail.com

  • Phone:917-520-2836

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