An irreverent Wall Street Blog
by Bill Singer
by Bill Singer
Topic List for Brokeandbroker (1323 results)
- Weekend Update by Bill Singer of BrokeAndBroker.com
May 16, 2013 - The $2.6 Million Question In Goldman Sachs Suitability Arbitration
May 16, 2013 - Public Customer Wins Messy Private Placement Arbitration
May 16, 2013 - Blank Forms Jam Up Broker In Annuity Sales
May 16, 2013 - 2nd Circuit Says Patel Unfitness Factors Still Valid
May 15, 2013 - The International Bank Trade That Was Too Good To Be True
May 14, 2013 - Botnet Pump And Dump Ends With Prison
May 14, 2013 - Former Merrill Lynch Broker Plagiarizes Research Reports
May 14, 2013 - Cantor Fitzgerald Defends $13 Million Wrongful Termination Suit
May 13, 2013 - Did Preet Bharara Blink In The Fight Against Insider Trading?
May 13, 2013 - Broker Hits Trifecta With Conversion, Borrowing, and Undisclosed Settlement
May 13, 2013 - Chase Customers Targeted In Signature Card Scheme
May 13, 2013 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
May 13, 2013 - Supreme Court Says Bankruptcy Defalcation Must Be More Than Merely Reckless
May 13, 2013 - BrokeAndBroker Weekend Update by Veteran Wall Street Lawyer Bill Singer
May 10, 2013 - FBI Informant Tape Records G&S Stock Promotion Scheme
May 9, 2013 - NEXT Smelled Email Smoke But Didn't Pull Compliance Alarm
May 7, 2013 - Stockbroker Fined And Suspended For Managing Clients' Households
May 7, 2013 - Stockbroker's Real Estate Sale Runs Afoul Of Borrowing Rule
May 7, 2013 - Stockbroker Wins Expungement Of Suitability Complaints
May 7, 2013 - FINRA Arbitrators Enjoin Stockbroker In Employment Dispute With U.S. Bancorp
May 6, 2013 - SEC v. Harrisburg: Full-Text Order And 21a Report
May 6, 2013 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
May 6, 2013 - New York Attorney General To Sue Wells Fargo and Bank of America In Mortgage Settlement Breach
May 6, 2013 - Three Card Monte Comes To Wall Street
May 3, 2013 - Weekend Update from Bill Singer of BrokeAndBroker.com
May 3, 2013 - BBVA Sanctioned For Discovery Abuse In FINRA Arbitration
May 2, 2013 - NASAA Investor Advisory: Financial Service Providers
May 1, 2013 - Raymond James Indemnification Dispute With Former Broker
April 30, 2013 - Lehman Brothers In Bizarre FINRA Promissory Note Cases
April 30, 2013 - NSF Checks Short Change Analyst's Career
April 29, 2013 - Wells Fargo Wins FINRA Hostile Work Environment Promissory Note Arbitration
April 29, 2013 - A UBS Promissory Note Arbitration Disclose The Hidden Costs Of Litigation
April 29, 2013 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
April 29, 2013 - Bogus Investment Partnerships And Coin Scheme End In Prison
April 29, 2013 - Weekend Recap From Bill Singer of BrokeAndBroker.com
April 26, 2013 - Ignorance Of The Law Defense Fails In Rule 10b-5 Case
April 26, 2013 - CBOE Goes Down But What Will Wall Street's Regulators Do?
April 25, 2013 - Blank Customer Forms Can Blank Your Wall Street Career
April 25, 2013 - Elderly Customer's Signature Submitted Three Days After His Death
April 25, 2013 - Capital One And Two Former Execs Settle Loan Forecast Case With SEC
April 25, 2013 - Veteran Wall Street Lawyer Bill Singer On BrokeAndBroker.com
April 24, 2013 - SEC Earns Kudos In Foreign Investor Case
April 24, 2013 - Whale Of A Federal Crime Beaches Blubber-ing Idiot
April 24, 2013 - With Each Lawsuit You Get A Fortune Cookie
April 23, 2013 - Journalism Today: From Bad To Worse
April 23, 2013 - Former Raymond James Broker Stumbles With Discretionary Sales
April 23, 2013 - Historic SEC FCPA Non-Prosecution Agreement Involving Ralph Lauren Corp
April 23, 2013 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
April 22, 2013 - FULL TEXT Tsarnaev Criminal Complaint
April 22, 2013 - Pruco Broker Impersonates 9 Customers In Phone Calls
April 22, 2013 - WEEKEND Wrap-Up by Bill Singer, Street Sweeper and BrokeAndBroker
April 19, 2013 - Negligence Prompted Good Faith Alteration Of UBS Customer Phone Records
April 19, 2013 - Former ING Broker Runs Afoul of Beneficiary, Borrowing, And Away Account Rules
April 19, 2013 - Chase Employee Took Cash From Customer's Lost Wallet
April 18, 2013 - Not About Trust As A Trustee For Former Wells Fargo Advisor
April 18, 2013 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
April 16, 2013 - Ameriprise Broker Exonerated In Great Recession Customer Case
April 16, 2013 - SunTRUST or UNTRUSTWORTHY For SEC Chair Mary Jo White
April 14, 2013 - WEEKEND UPDATE from Bill Singer, Street Sweeper and BrokeAndBroker.com
April 13, 2013 - Courts Sustain Wells Fargo, Morgan Stanley, and Merrill Lynch Away Account Denials
April 12, 2013 - Small Fish Fry On Wall Street
April 12, 2013 - New SEC Identity Theft Rule Warns Of The Suspicious Jabberwock
April 11, 2013 - Line Between Signature And Forgery Trips Up Former Wells Fargo Broker
April 11, 2013 - Second Circuit Pounds Last Nail Into Madoff Plaintiffs' Coffin
April 10, 2013 - UBS Loses Lawsuit After Former Employee Calls Firm Immoral and Unethical
April 10, 2013 - Former Wells Fargo Broker Swallows Bitter Pill After Pharma Sales
April 9, 2013 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
April 8, 2013 - No Error Of Margin In $25 Million UBS Lawsuit
April 8, 2013 - WEEKEND READING from BrokeAndBroker and Forbes' Street Sweeper
April 5, 2013 - David Lerner And Apple REITs Defendants In Stunning Class Action Victory
April 5, 2013 - FINRA Panel Splits On Award In Overtime Pay And Harassment Case
April 5, 2013 - Guilty Plea In IBM SPSS Insider Trading Case
April 4, 2013 - Former Chase Broker Initials And Signs His Way Out Of A Job
April 4, 2013 - Zanbato Sutter ATS Set To Launch For Infrastructure Investments
April 3, 2013 - The SEC Steps Back From Netflix and Hastings' Social Media Gaffe
April 3, 2013 - YouTube Annuities Videos Lead To Fine And Suspension
April 3, 2013 - Chase Banker And Broker Uses Unauthorized Customer Credit Cards
April 2, 2013 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
April 1, 2013 - SEC Advisory Committee Calls For New Small Issuer Stock Market
April 1, 2013 - Barclays Wins Bonus And Severance Dispute In Split Decision
April 1, 2013 - Holiday UPDATE From Bill Singer BrokeAndBroker.com Street Sweeper
March 29, 2013 - FBI Warns of Alaska Emailing Hitmen
March 29, 2013 - Stockbroker Makes Bad Impression Impersonating Customer's Husband
March 28, 2013 - Merrill Lynch Selling Away Case Goes Back To The Future
March 27, 2013 - Broker Suspended For Downloading Customer Files On Flash Drive And Laptop
March 26, 2013 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
March 25, 2013 - Schwab Wins Unfair Competition Damages
March 25, 2013 - Wall Street Regulation And Main Street Prosecution By Bill Singer
March 23, 2013 - FBR Capital Markets Loses Commission Dispute
March 22, 2013 - Credit Repair Scam Ends With Pleas And Prison
March 21, 2013 - MetLife Broker Barred After Repaying Customer In Full With Interest
March 21, 2013 - Robber Exiled By Federal Judge After Drinking Red Slurpee
March 20, 2013 - Stockbroker's Sitting In On Investment Discussion Becomes Private Securities Violation
March 19, 2013 - Morgan Stanley Broker Cited For Discretion And Unsolicited Trades
March 19, 2013 - Commodities Biz Turns Into Outside Business Nightmare For FINRA Broker
March 19, 2013 - Merrill Lynch Avoids Cyprus Bank Wire Disaster
March 19, 2013 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
March 19, 2013 - Filling In The Blanks Gets Chase Stockbroker Fined and Suspended
March 18, 2013 - Statutorily Disqualified Person Cited For Acting In Associated Capacities
March 16, 2013 - Subway Restaurants Rocked By POS Hackers
March 15, 2013 - FINRA CEO Ketchum's Speech And The Shortcomings Of Self Regulation
March 15, 2013 - Wells Fargo And E*Trade Battle Over Ex-Husband's Withdrawals
March 15, 2013 - Former Chase Investment Rep And Banker Pleads To Grand Larceny And Identity Theft
March 14, 2013 - Stock Picking Teenage Robot Brothers Settle SEC Complaint
March 13, 2013 - Wall Street's Self Regulator Prohibits Guarantees Against Customer Loss
March 13, 2013 - Former Wells Fargo Broker Rips Off Elderly Widow
March 12, 2013 - Webinar And PowerPoint Presentation Cited As Improper Reg D Public Solicitation
March 12, 2013 - Hungarian Bonnie And Clyde Without Guns Hit Bank Of America And eBay
March 11, 2013 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
March 11, 2013 - Reg SCI Gets A 'Yes But' From SEC Commissioner Aguilar
March 8, 2013 - Sabotaging 401ks. Oral Complaint Gets Expunged. Lehman EFL Loss. And more!!!
March 8, 2013 - Oral Customer Complaint Expunged From Broker's Record
March 8, 2013 - Lehman Brothers Loses Promissory Note Collection Case
March 8, 2013 - How To Sabotage Your Retirement Account
March 7, 2013 - NEW Forbes Street Sweeper Columns By Bill Singer Now Online
March 7, 2013 - After Borrowing From Customer, Stockbroker Ordered To Pay Restitution
March 7, 2013 - Something Up Continuing Ed Sleeve Leads To FINRA Bar
March 7, 2013 - Oral Notice Of Outside Accounts Still Earns FINRA Fine
March 6, 2013 - Outside Accounts. SEC Makes Inadvertent Email Production. Certified College Planner Fined
March 6, 2013 - Inadvertent Email Production By Securities And Exchange Commission Raises Concerns About Whistleblower Tips
March 6, 2013 - Certified College Planner May Not Have Sat For Exam
March 6, 2013 - READ Veteran Wall Street Lawyer Bill Singer's Forbes.com 'Street Sweeper' Column
March 5, 2013 - Morgan Stanley Exam Taker Barred For Fudging Score To Keep Job
March 5, 2013 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
March 5, 2013 - Now ONLINE at Forbes "Street Sweeper" by Bill Singer
March 4, 2013 - A Spider Web Of Hedge Fund And Forex Ponzi Fraud
March 4, 2013 - Merrill Lynch Hit With $8.5 Million Wrongful Termination Case
March 1, 2013 - Stockbroker Fined And Suspended For Sending Business Emails From Personal Account
March 1, 2013 - Da Big Kahuna Wipes Out On Stock Manipulation Ladder
February 28, 2013 - Why You Should Not Forge Congressional Letterhead In An IRS Dispute
February 28, 2013 - Supreme Court Reverses SEC V. Gabelli On Discovery Rule Grounds
February 27, 2013 - New Securities Industry Regulatory And Litigation Analysis by Bill Singer
February 27, 2013 - Broker Dealer President And Chief Compliance Officer Sued By Firm
February 26, 2013 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
February 25, 2013 - 74 Months In Prison For Securities Fraudster Who Targeted Foreign Investors
February 25, 2013 - FINRA v. Schwab. Madoff Victims In Court Setback. Missing Wallet At Chase Bank.
February 25, 2013 - Madoff Victims Suffer Major Setback In Federal Appeals Court
February 23, 2013 - Fantabulous Tale Of Chase Bank Customer's Missing Wallet
February 23, 2013 - Slap On Wrist For Causing JetBlue Emergency Landing
February 21, 2013 - Customer Paid Interest From Nonexistent IRA
February 20, 2013 - Supreme Court Says K-9 Dog's Sniff Was Up To Snuff
February 19, 2013 - Email Snafu Costs ING Subsidiaries $1.2 Million Fine
February 19, 2013 - Convicted Bank Fraudster Starts Forex Ponzi After Prison
February 19, 2013 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
February 17, 2013 - Bill Singer Forbes Street Sweeper Update
February 17, 2013 - Amazing Video From Chelyabinsk Russia Of Meteor Explosion
February 15, 2013 - FINRA IRAte About Cut And Pasted Customer Signatures
February 15, 2013 - Weekend UPDATE From Forbes Street Sweeper Columnist Bill Singer
February 14, 2013 - FBI Warns About Online Dating Scams
February 14, 2013 - UBS Wins Promissory Note Case
February 14, 2013 - Avocado Consulting Makes Guacamole Out Of Stockbroker's Career
February 13, 2013 - Professor Ronald Filler Discusses CFTC, GMAC, Dodd Frank, And Swaps Regulation With Bill Singer
February 12, 2013 - UBS And Merrill Lynch Win $2.5 Million DotCom Customer Case
February 11, 2013 - Three Pilot Episodes of SIDE BAR with Bill SInger Now Online
February 11, 2013 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
February 11, 2013 - Stockbroker Exonerated For Following Broken FNMA Compass
February 9, 2013 - Regulators And Traders Fail To Keep Pace In High Frequency Markets
February 8, 2013 - MetLife Securities Unsettling Customer Settlements
February 8, 2013 - Are Human Beings Obsolete On HFT Wall Street?
February 7, 2013 - Broker Charged With The Old Cut And Paste Signature Shortcut
February 7, 2013 - Premiere Episode of SIDE BAR WITH BILL SINGER on Reuters Insider
February 6, 2013 - Ameriprise Sort Of Wins FINRA Promissory Note Arbitration
February 5, 2013 - FULL TEXT Version of SEC's FAQ on BD Exemptions Under the JOBS Act
February 5, 2013 - FULL TEXT Complaint USA v. McGraw Hill and S&P At BrokeAndBroker.com
February 5, 2013 - Public Customer As Bad Guy In Morgan Stanley Case
February 5, 2013 - How Not To Conduct Yourself At An Arraignment
February 5, 2013 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
February 4, 2013 - US Airways Wins Massive Auction Rate Securities Award. Morgan Stanley Wins Promissory Note Case
February 2, 2013 - US Airways Wins $30 Million ARS Award Against Oppenheimer
February 1, 2013 - Morgan Stanley Wins Promissory Note Case Against Former Broker
January 31, 2013 - Read Bill Singer In Forbes' Street Sweeper and BrokeAndBroker.com
January 30, 2013 - Hacker Charged With Using 3,000 Nude Photos To Victimize 350 Women
January 30, 2013 - Stockbroker Barred For Living Trust Trustee Conduct
January 30, 2013 - Stockbroker Charged With Outside Business Activity For 401k Consulting
January 30, 2013 - UPDATE: Broker Wins Expungement Of Sleeping Dog Customer Complaint
January 29, 2013 - Did You Hear The One About The Stockbroker And His Mother In Law?
January 29, 2013 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
January 28, 2013 - FINRA Wrongful Termination Case Fizzles
January 28, 2013 - The Latest From Veteran Wall Street Regulatory Lawyer Bill Singer
January 25, 2013 - Compliance Officer Gets Too Creative With Customer Complaint File
January 25, 2013 - Credit Card Charges Cancel Career On Wall Street
January 25, 2013 - Ameriprise Wins Employee Promissory Note Case
January 24, 2013 - Job Opening for Chief Compliance Officer
January 23, 2013 - Ponzi Fraudster Gets 12 Years In Prison
January 23, 2013 - Securities And Exchange Commission Revolving Door Spins For Mary Jo White
January 22, 2013 - EMPLOYMENT TUESDAY at BROKEANDBROKER.COM
January 21, 2013 - Street Sweeper Articles by Bill Singer, Veteran Wall Street Lawyer
January 19, 2013 - Chief Compliance Officer Opening
January 17, 2013 - Texas State Securities Board Raises Red Flags About Target Date Mutual Funds
January 17, 2013 - Customers Sue Wells Fargo Over Leveraged ETF Trades
January 16, 2013 - Barred Stockbroker Barred Again For Wire Transfers From Elderly Client
January 15, 2013 - Citigroup Broker Exonerated In $2.5 Million Great Recession Case
January 15, 2013 - Wells Fargo Branch Manager Barred Over iPod Purchases
January 15, 2013 - Tullet Prebon's $16 Million Raiding Case Broadside Against BGC Financial Fizzles
January 14, 2013 - Employment Tuesday At BrokeAndBroker.com
January 14, 2013 - IRA Customers Sue Morgan Stanley Over KFN Tax Bill
January 14, 2013 - Two New Street Sweeper Articles by Bill Singer
January 11, 2013 - Lovebird Stockbroker Absconds With Girlfriend Customer's Investment
January 11, 2013 - Till Death Do Us Part Stumps Stockbroker
January 11, 2013 - Not Borrowing Money From Customers Got Stockbroker Suspended
January 10, 2013 - Raymond James Wrongful Discharge Case Is A Minefield For Stockbroker
January 10, 2013 - Former Morgan Stanley Branch Manager Litigates Hobson's Choice
January 9, 2013 - Wall Street Unites To Save Downton Abbey.
January 8, 2013 - Veteran Stockbroker Fined And Suspended For Personal Checkbook Miscues
January 8, 2013 - Feds Indict Breathtaking Tax Cheat
January 8, 2013 - Russian Sentenced To Prison In Credit Card Malware Attacks
January 7, 2013 - Morgan Stanley Broker Fined And Suspended For Taking Fidelity Customer Data
January 7, 2013 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
January 7, 2013 - Stockbroker Fined And Suspended For Using Microsoft Excel Spreadsheet
January 5, 2013 - FINRA Taping Rule Punted By Federal Courts
January 4, 2013 - Clueless 2013 Investment Ideas
January 3, 2013 - LPL Broker Tripped Up By Undisclosed IRS Tax Lien
January 3, 2013 - Is New Insider Trading Plan An Inroad Or Off-Ramp?
January 3, 2013 - SEC Imposes Pennystock Bar And Spells It Out
January 2, 2013 - Merrill Lynch Collateral Damage in Goldman Sachs Floating Rate Trust Case
January 2, 2013 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
January 1, 2013 - Straddling The Line In The Fiscal Sand
December 31, 2012 - Preet Bharara Deports Lenny The Tyrannosaurus To Mongolia
December 29, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
December 26, 2012 - NOW Online at BrokeAndBroker.com: FULL-TEXT US v. Martoma INDICTMENT with Bill Singer Analysis
December 21, 2012 - Bogus Bambino Baseball Glove Scam
December 21, 2012 - David Whatshisname Pulls A No-Show In Federal Court Sentencing
December 20, 2012 - Ghosts Of Christmas Past Visit NYSE And ICE
December 20, 2012 - A Stockbroker Uses Personal Emails And Unparalleled Yardstick
December 19, 2012 - $19 Million Ponzi Money Laundering Lawyer Slapped With Time Served
December 19, 2012 - Continuing Ed Cheat Sheet Gets Stockbroker Detention
December 18, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
December 17, 2012 - Swedish Scareware Scammer Sentenced
December 17, 2012 - Southwest Airlines Groper Caught In The Act
December 16, 2012 - Stockbroker Wins Arbitration For Owed Commissions And Expenses
December 14, 2012 - Merrill Lynch Settles Customer Suitability Case Despite Apparent Profitability
December 14, 2012 - Kink In Merrill Lynch ARMOR Loses $Million Customer Arbitration
December 13, 2012 - NASDAQ QQQ Stop Loss Strategy Earns Stockbroker Fine And Suspension
December 12, 2012 - Hartford Life Wholesaler Fabricated Embassy Suite Bill For School Donation
December 11, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
December 10, 2012 - State Farm Stockbroker Impersonates Uncle Seeking Life Insurance
December 10, 2012 - FINRA's $25,000 Antiviral Guessing Game
December 10, 2012 - After A Decade Of Ponzi, Scammer Sent To Jail
December 9, 2012 - Credit Repair Scheme Ends In Prison
December 9, 2012 - Undue Concentration In Brokerage Portfolio Fails Suitability Test
December 6, 2012 - NASAA Sounds the JOBS Act and Crowdfunding Alarm -- Points at proliferation of websites
December 6, 2012 - If It Ain't Broken, Try A Scam To Get Computer Parts To Fix It
December 6, 2012 - Re-Sales Of Wells Fargo Ink Cartridges Jams Up Manager's Career
December 4, 2012 - Trading For The Dead Posed Grave Problem For Stockbroker
December 3, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker
December 3, 2012 - Elvis Presley Had It Right When It Came To Insider Trading
December 1, 2012 - Odometer Tampering Ends In Federal Prison Skid
December 1, 2012 - IMAGiNE Group BitTorrent Video Piracy Case Rolls Final Credits
December 1, 2012 - Chick Flix Robbers Eat, Pray, Love, Steal, And Go To Jail
December 1, 2012 - Pair Indicted For Animal Crush Videos
December 1, 2012 - A weekend, Fiscal Cliff gift from Bill SInger
November 30, 2012 - SEC Warns Of Government Impersonators
November 30, 2012 - Son Steals From Parents And Banks And Investors
November 29, 2012 - World Series Tickets Undo Wall Street FINOP And CFO
November 28, 2012 - Stockbroker's Borrowing From Elderly Client Gets Him Barred
November 28, 2012 - Morgan Stanley Wins Unfair Competition And Raiding Case Against Robert W. Baird
November 27, 2012 - Bah Humbug As Sweepstakes Telephone Con Artist Gets Prison
November 27, 2012 - EMPLOYMENT TUESDAY AT BrokeAndBroker.com
November 26, 2012 - SEC Approves Return To Wall Street Of Statutorily Disqualified Broker
November 26, 2012 - Full Text US v. Martoma Insider Trading Complaint
November 21, 2012 - After The Carnage, Wall Street Recruiter Craig Enderlin Talks Brokerage Jobs For 2013
November 21, 2012 - Janney Montgomery Scott Wins $2.4 Million Raiding Case
November 21, 2012 - Customer's Oddball ETF UIT Guarantee Allegation Proves A Winner
November 20, 2012 - UPDATE: A House Is Not A Home In Yonkers Political Corruption Case
November 20, 2012 - After Apple, Google, Adobe, Pixar, And Intuit, Antitrust Employment Charges Hit eBay
November 19, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker
November 19, 2012 - Tax Exchange Ponzi Ends With $25 Million Hole And Criminal Pleas
November 19, 2012 - Home Depot, Sears, Kmart, Best Buy and Kohl's Identity Theft Ring Headed To Prison
November 19, 2012 - FOREX Ponzi Scammer Hit With Major Prison Sentence
November 16, 2012 - FULL TEXT Press Release on MF Global and Corzine by House Financial Services Oversight And Investigations Subcommittee
November 15, 2012 - Undisclosed Tax Liens And State Regulatory Action Trip Up Stockbroker
November 15, 2012 - Stockbroker Disqualified Amid Borrowing, Liens And Judgments
November 14, 2012 - Undisclosed Bankruptcies,Tax Liens and Judgments Derail Stockbroker
November 13, 2012 - Wells Fargo Embroiled In Another Trainee Fee Dispute
November 12, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
November 12, 2012 - Florida Gay Community Hit By Ponzi Fraud
November 11, 2012 - Organic Crap Sends Executive Up A Federal Creek Without A Paddle
November 9, 2012 - Sharing Commissions Gets Stockbroker Tossed From Industry
November 8, 2012 - FINRA Bars Exam Taker For Cheating
November 8, 2012 - I Have A Gub
November 7, 2012 - Wells Fargo Broker Fined And Suspended For REIT Customer Referral
November 7, 2012 - Settled Stop Loss Order Is Loss For Stockbroker
November 6, 2012 - Attorney Client Privilege Dispute Turns Aunt Into Uncle At The SEC
November 5, 2012 - Prison Sentences Handed Down In IMAGiNE BitTorrent Piracy Case
November 5, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
November 5, 2012 - UPDATE: Low Tech Crime Wave Hits Smithsonian Museum Parking Lot
November 3, 2012 - Utility Bill Complaint Goes Nuclear
November 2, 2012 - Everything Is Broken
November 2, 2012 - Hurricane Sandy Investment Scam Alert
November 1, 2012 - All That Glitters May Be Ponzi USGSI Gold
November 1, 2012 - Commodities Trader Falls Into Pit Of Art Fraud
October 31, 2012 - A Wife's And A Customer's Outside Accounts Land Stockbroker In FINRA Detention
October 29, 2012 - Citibank And Casino Cash Gone In 60 Seconds And Bad Guys Comped
October 29, 2012 - Thou Shalt Not Steal From Nuns
October 29, 2012 - EMPLOYMENT TUESDAY at BROKEANDBROKER.com
October 29, 2012 - Second Circuit Issues Dramatic Ruling Against Argentina. Full-Text Opinion Online.
October 26, 2012 - Rolls Royce, Diamonds, Gold Coins, Wines Cited In Couple's Bankruptcy Fraud
October 26, 2012 - Sexist Double Standard? Female Sales Assistant Sanctioned By FINRA
October 26, 2012 - Full-Text US v. Bank of America Hustle Complaint Available At BrokeAndBroker.com
October 25, 2012 - Wells Fargo In Groundhog Day Deja Vu Training Fee Disputes
October 25, 2012 - Taped Phone Conversations Discredit Customer And Exonerate Stockbroker
October 25, 2012 - Thundering Silence From Customer Trumpets Wells Fargo Arbitration Victory
October 25, 2012 - Lehman Brothers Loses Nearly $500,000 Collection Case Against Former Employee
October 24, 2012 - Chick Flix Robbers Eat, Pray, Love, And Steal
October 24, 2012 - One Russian Commodities Fraudster Turns Out To Be Twin Brothers
October 22, 2012 - Stockbroker Borrows From 90 Year Old Customer
October 22, 2012 - E*Trade Customer Seeks Damages for Failed Phone Transaction
October 22, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
October 22, 2012 - Oshkosh Omigosh! As Feds Expand Charges Against Former Carter's Executives
October 20, 2012 - Felony Strangulation Charge Gets Stockbroker Fined And Suspended
October 19, 2012 - Humpty Dumpty Words For Congress And The SEC
October 19, 2012 - Street Sweeper at Forbes.com. See what everyone is talking about!
October 18, 2012 - Wells Fargo Blindsided In Trainee Fee Loss
October 18, 2012 - Wall Street's High Standards And Honor Demolish Lowly Female Sales Assistant
October 17, 2012 - California Real Estate Ponzi Ends With Federal Criminal Guilty Plea
October 16, 2012 - Feds File Historic ADA Case Against NYC Restaurant
October 16, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
October 15, 2012 - Stockbroker Sentenced In Fraud Case But What's The Over / Under ?
October 15, 2012 - Rebecca -- Broadway Musical Fraud
October 15, 2012 - SEC Inspector Javert Earns $1.8 Million Interest On $78,000 Judgment
October 15, 2012 - Two Oddball Wall Street Regulatory Cases
October 12, 2012 - Stockbroker Preserves Reputation With Voluntary Termination
October 12, 2012 - Husband's Unauthorized Withdrawals Land Stockbroker In Hot Water
October 12, 2012 - Fanatical SciFi Army Beams Financial Firm Into Black Hole
October 11, 2012 - Former Employee Wins Wrongful Termination FINRA Expungement Case
October 11, 2012 - A Stockbroker's Indiscretion Of Discretion
October 10, 2012 - Research Reports Unravel Into Stockbroker's Outside Business Activity
October 10, 2012 - Barred Wall Streeter Returns As Public Customer And Jams Up Compliance Officer
October 9, 2012 - Stockbroker Sidesteps Felony But Trips Over Misdemeanor
October 9, 2012 - Exonerated Stockbroker Remains Victimized In Public Customer Arbitration
October 8, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
October 8, 2012 - Verizon Fraudster Buys Girlfriend Cosmetic Surgeries From Cisco Parts
October 4, 2012 - Guilty Plea In Fall Of A Roman Empire And Groupon And Facebook
October 4, 2012 - Lehman Brothers Cited For Repo 105 In Promissory Note Case
October 3, 2012 - Wall Street Regulation Goes Hollywood
October 2, 2012 - Computerized Casino Card Cheats Go Bust In FBI Slug-fest
October 1, 2012 - Stockbroker Sanctioned For Nondisclosure Of Expunged Criminal Charges
October 1, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
October 1, 2012 - Dramatic Federal Court Ruling Vacates CFTC Positions Limit Rule
September 28, 2012 - Shotgun And Laser Fired At Biplane And Helicopter
September 28, 2012 - PhD Stockbroker Fined And Suspended For Dubious Degree
September 28, 2012 - Opening Up the IPO Process For Small Fry
September 27, 2012 - God Of The Dead Hedge Fund Mummified By Feds
September 27, 2012 - FINRA Says Stockbroker Was His Brother's Keeper In Trust Conversion
September 26, 2012 - Morgan Stanley Smith Barney Eviscerated In Fidelity Unfair Competition Case
September 25, 2012 - InvestForClosures Fraudsters Hit With Heavy Prison Terms
September 25, 2012 - Wells Fargo Trainee Fee Arbitration Comes Up Short
September 25, 2012 - Merrill Lynch Failed To Provide Conducive Workplace For Employee
September 24, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
September 24, 2012 - Paulson & Co. Victimized By Copy Cat Fraudsters
September 21, 2012 - Car Loan Scamster Gets Parked In Prison For 30 Years
September 21, 2012 - Wall Street Wrongful Termination Dispute Ends With A Whimper
September 20, 2012 - Seven Years Of Smoke And Mirrors In $1 Million Hedge Fund Scam
September 20, 2012 - Friends And Family Scam Ends With Criminal Complaint
September 20, 2012 - Countrywide Financial Victims Lining Up To Get Paid
September 19, 2012 - Stockbroker Undone By Email Trail Of Undisclosed Customer Settlement
September 18, 2012 - Stockbroker Fined And Suspended For Service As Executor And Having Outside Accounts
September 17, 2012 - Merchant Portfolio Scam Ends With Prison
September 17, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
September 17, 2012 - Historic SEC Order Slams NYSE For Data Violations
September 14, 2012 - Another Ten Year Ponzi Scheme Ends With Guilty Plea
September 14, 2012 - Lehman Brothers Sought $159,000 Repayment Of Promissory Note From Former Broker But Gets Zippo
September 13, 2012 - Unpaid Credit Card Bills Result In Stockbroker's Disqualification
September 13, 2012 - Shoplifting $40 From Macy's Pinches Stockbroker's Career
September 13, 2012 - ING And Wells Fargo Catch Broker Ripping Off Elderly Client
September 12, 2012 - Customer Settled Suitability and Churning Case But Stockbroker Wins Expungement
September 11, 2012 - Equity Indexed Annuities Sales Set Up FINRA Outside Business Activity Case
September 10, 2012 - Top Broker Dealer Compliance Issues Disclosed By State Securities Regulators
September 10, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker
September 10, 2012 - Obama Hope And Progress Photo Ends With Artist's Criminal Plea
September 7, 2012 - The Killer Sunglasses: Scary, Shady Online Seller Sent To Prison
September 7, 2012 - FINRA Bars Broker For Loans From Elderly Widows And Family
September 6, 2012 - Former Santander Female Employee Filed $Multi-Million Sexual Harassment Wrongful Termination Case
September 5, 2012 - Bill Singer On New York Times' Business Day Live
September 4, 2012 - FINRA Enforcement Loses Dramatic ARS Case
September 4, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
September 4, 2012 - Moronic Study Forced Upon SEC By Dodd-Frank Yields Meaningless 212 Page Report
August 31, 2012 - Out Of State Annuity Signature Gets Former Merrill Lynch Stockbroker Fined And Suspended
August 31, 2012 - Feds Shred Straw Men And Mortgage Fraudsters In Napa Valley Case
August 31, 2012 - Barnes & Noble Nooks At Center Of National Federation of the Blind Discrimination Complaint
August 31, 2012 - Feds Indict Man For Wearing Army Combat Uniform And Displaying Medals
August 29, 2012 - Chief Compliance Officer (Florida) A BrokeAndBroker.com Featured Job:
August 29, 2012 - Wells Fargo Advisors Comes Up Short in Retention Bonus Case
August 29, 2012 - The Sting Meets Reservoir Dogs In Epic FBI High Yield Investment Fraud Case
August 28, 2012 - Darrell Issa Challenges Mary Schapiro To Wall Street Jenga
August 28, 2012 - Former Chase Investment Employee Wins Happy Birthday Wrongful Termination Expungement
August 28, 2012 - Illegal Gas Station Skimming Empties Your Credit Card And Bank Accounts As You Fill Your Tank
August 27, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
August 27, 2012 - FINRA Hits Stockbroker For Mortgage Refinance Proceeds Used To Purchase Variable Universal Life Policy
August 27, 2012 - Husband Sues Advest, Credit Suisse, And Two Stockbrokers Over Wife's Unauthorized Withdrawals
August 23, 2012 - NASAA Warns Of Con Artists Targeting Unwary Investors
August 22, 2012 - One Errant E-Mail Gets Stockbroker Fined And Suspended
August 22, 2012 - SEC And Federal Prosecutors Go After Puerto Rican Evangelical Christian Ponzi Scam
August 21, 2012 - First SEC Whistleblower Bounties Awarded And Denied
August 21, 2012 - Former Morgan Stanley Smith Barney Employee Wins Promissory Note Arbitration
August 21, 2012 - Feds Get Guilty Verdict In Social Media Shareholders' Kickbacks To FBI Agent
August 21, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
August 21, 2012 - Stockbroker Fined And Suspended For Equity Indexed Annuities Sales
August 17, 2012 - FINRA Says Stockbroker Willfully Failed To Disclose Bankruptcy
August 17, 2012 - Stockbroker's Outside Business Activity Becomes FINRA Private Securities Transaction
August 16, 2012 - An August Music Gift From Bill Singer: Tedeschi Trucks Band
August 15, 2012 - Bankrupt Stockbroker Fined And Suspended By FINRA
August 15, 2012 - Make Millions Leasing A Line Of Credit Or Go To Jail
August 14, 2012 - Securities And Exchange Commission Video Walks Informants Through Whistleblower Process
August 13, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
August 13, 2012 - Nordstrom Online Crime Wave Ends With 2 Year Jail Terms For Brothers
August 13, 2012 - Senator Levin Slams Department of Justice's Inaction Against Goldman Sachs
August 10, 2012 - Deleted AOL Mail Lands Stockbroker In FINRA Trash Folder
August 10, 2012 - Ameriprise Gets Nasty Surprise Over Sale Of Financial Planning Practice
August 9, 2012 - FINRA Charges That Real Estate Loan Was Improper Borrowing By Stockbroker
August 8, 2012 - Joint Venture Collapses Into FINRA Arbitration Slugfest Over Fee Division
August 8, 2012 - FINRA Says Test Taker Lacked Potty Training
August 7, 2012 - Low Tech Crime Wave Hits Smithsonian Museum Parking Lot
August 7, 2012 - Gibson Les Paul Guitars With Less Ebony
August 6, 2012 - Full-Text Order in NYS v. Standard Chartered Bank Online at BrokeAndBroker.com
August 6, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
August 6, 2012 - SEC Schapiro's Opening Salvo At Knight Capital's Apparent Trading Error
August 6, 2012 - Home Foreclosure Scams, Mortgage Fraud, And Wall Street
August 3, 2012 - Canaccord Broker Barred For Bogus Commissions
August 3, 2012 - Bill Singer On ReutersVideo
August 2, 2012 - FINRA Punishes Customer Loss Reimbursement By Stockbroker
August 2, 2012 - Deadly Gold Scam Used Cyber-Currency
August 2, 2012 - Knight Unhorsed And NASDAQ's Greifeld May Be Smiling
August 1, 2012 - FINRA Fines And Suspends Broker For Improper Customer Loans
August 1, 2012 - Dramatic SEC Report Aims To Reform Municipal Securities Markets
July 31, 2012 - Pinnacles's $1 Million Arbitration Not Credible, Probative, Substantive, Or Meritorious
July 31, 2012 - Fired Chase Employee Counter-Punches To FINRA Expungement Victory
July 30, 2012 - $5 Million Customer Case Fizzles Against Janney Montgomery Scott, Jesup & Lamont, And Wachovia
July 30, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
July 30, 2012 - FINRA Trifecta Earns Stockbroker Fine And Suspension For Borrowing, U4, Private Securities Transactions
July 27, 2012 - Pair Sentenced To Federal Prison In Michaels Stores Customer Information Ripoff
July 26, 2012 - Wall Street's Women Set Up For Regulatory Failure
July 25, 2012 - A Stockbroker's Survival Guide: Felonies And Misdemeanors -- what to do
July 24, 2012 - SEC Posts Market Circuit Breakers Investor Bulletin
July 24, 2012 - Former Citi Stockbroker Fined And Suspended In Form U4 Felony Disclosure Case
July 24, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
July 23, 2012 - Sleeping Dog Bites Former Raymond James Employee After Form U5 Expungement
July 23, 2012 - No Food, No Drink If Agroterrorism Hits USA
July 20, 2012 - Pain Pills Put Stockbroker In A World Of FINRA Hurt
July 19, 2012 - Stockbroker Victimized By Husband's Withdrawals From Wife's and Child's Accounts
July 19, 2012 - Classic FINRA Case Of A Stockbroker Borrowing From A Client
July 18, 2012 - Bankrupt Stockbroker Winds Up Statutorily Disqualified
July 18, 2012 - Stockbroker's DUI Puts Career In The FINRA Ditch
July 17, 2012 - FINRA Settlement Attacked By Barred Respondent As Misstating Facts
July 17, 2012 - Springsteen, McCartney, and LIBOR Won't Let It Be
July 16, 2012 - EMPLOYMENT TUESDAY on BrokeAndBroker
July 16, 2012 - Springsteen, McCartney, and LIBOR Won't Let It Be
July 16, 2012 - Bogus Fire Insurance Policy Lands Stockbroker In FINRA Hell
July 13, 2012 - Morgan Stanley Broker Barred For Bogus Restaurant Expenses
July 13, 2012 - Can The Securities And Exchange Commission Order Lunch?
July 12, 2012 - A FINRA Member Firm In Name Only But Not Even That
July 12, 2012 - UPDATE: Another Hospital Bid Rigging Defendant Pleads Out In NY Federal Case
July 12, 2012 - Antitrust Division's New York Office Wins Impressive Hospital Asbestos Fraud Case
July 12, 2012 - Former Wedbush Rep Wins Incentive Compensation Case
July 12, 2012 - Madoff Feeder Fund Fairfield Sentry Dispute Among First Through FINRA Arbitration
July 10, 2012 - NASAA and RITA Hold Free Self-Directed IRA Webinar
July 9, 2012 - Citigroup Wins FINRA Arbitration And Expungement As Public Customer Pulls A No-Show
July 9, 2012 - MetLife Manager Fined And Suspended In FINRA Life Settlement Case
July 9, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
July 9, 2012 - Time And Price Discretion Earns Stockbroker Time Consuming Suspension and Pricey Fine
July 6, 2012 - PNC Broker Exonerated In FINRA Customer Dispute But Saddled With Expungement Ordeal
July 6, 2012 - Supervisor Fined And Suspended Over Two Busted Apple Trades From 2008
July 6, 2012 - UPDATE: LIBOR The Antitrust Division’s Trojan Horse?
July 4, 2012 - July 4th Fireworks From Unsolicited Emails And Telephone Calls
July 3, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
July 2, 2012 - Read The Full Text Criminal Information In U.S. v Peter Madoff
June 30, 2012 - Speed Reading U.S. v. Peter Madoff And War And Peace
June 30, 2012 - Bogus Babe Ruth Mitt May Land eBay Buyer In Prison
June 29, 2012 - Full Text US Supreme Court Obamacare Ruling Online With Bill Singer's Commentary
June 28, 2012 - Broker Fined And Suspended For U4 Tax Lien, Credit, and License Disclosures
June 28, 2012 - Elderly Paraplegic With Dementia And Multiple Sclerosis Victimized In FOREX Hedge Fund Fraud
June 28, 2012 - NASAA Issues Crowdfunding Advisory
June 27, 2012 - Barclays LIBOR EIBOR $160 Million Settlement
June 27, 2012 - A Stockbroker's Undisclosed Arrest Sets Off A Regulatory Cavalcade Of Disaster
June 27, 2012 - FINRA Wields Broom Behind A JP Morgan Chase Circus Elephant Of Theft And Deception
June 27, 2012 - US Attorney and FBI Announce Arrests In International Cyber Crime
June 26, 2012 - Bill Singer Interviewed About Madoff Merkin Settlement on Marketplace Morning
June 25, 2012 - Lehman Largely Wins A Promissory Note Collection Case In FINRA Arbitration
June 25, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker
June 25, 2012 - Failure To Report Email Customer Complaints About Unauthorized Trades Gets Broker Fined and Suspended
June 22, 2012 - SEC Charges Ponzi Fraud Literally Involved Lunacy or Lunar-cy
June 21, 2012 - SEC Chair Schapiro Fears Future Runs On Money Market Funds But Offers Hope
June 21, 2012 - UPDATE: Free Lenny The Tyrannosaurus Bataar Dinosaur Named In Federal Lawsuit By DOJ
June 21, 2012 - Wells Fargo Registered Persons Victimized By Abandoned Customer Arbitration And Expungement Process
June 21, 2012 - Former LPL Broker Fined and Suspended For Widow's Variable Annuity and Mortgage Activities
June 20, 2012 - US Attorney Sues Over 70-Million-Year-Old Dinosaur Case
June 19, 2012 - FOREX Private Securities Transactions Earn Stockbroker Fine And Suspension
June 19, 2012 - UPDATE: The Flying Ponzi Commodities Pool Circus: Securities Fraud, Bank Fraud, and Tax Evasion
June 18, 2012 - Outside Restaurant Business Cooks Broker's FINRA Case With A Side Order Of A Fine And Suspension
June 18, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
June 18, 2012 - Motel Art, Flat Screen TVs, Bad Trades, And Bouncing Checks Collide In Federal Case
June 15, 2012 - Fidelity Relationship Managers Win One,Lose One In FINRA Expungement Hearing On Settled Customer Complaint
June 14, 2012 - Employee Loses But Sort Of Wins Twilight Zone Promissory Note Arbitration Against Citigroup And Morgan Stanley
June 13, 2012 - Arbitrators Slam SunTrust's Legal Tactics In Non-Solicitation Case Against Former Employee
June 12, 2012 - SEC Schapiro Was Grounded While NASDAQ Greifeld Flew In The Cone Of Silence
June 11, 2012 - EMPLOYMENT TUESDAY At BrokeAndBroker.com
June 11, 2012 - Lehman Loses Another Promissory Note Collection Case
June 11, 2012 - Shocking Verdict In Morgan Keegan Arbitration Against Broker Who Exercised Discretion (Or Not)
June 11, 2012 - Coconut Hearsay Might Have Kept Samoan Education Official Out Of Federal Prison
June 9, 2012 - Fuggedabout Facebook Or MF Global, Get The Stockbroker With The Bouncing Checks
June 8, 2012 - First It Was LinkedIn, Then eHarmony, And Now 14 Defendants In Massive Bank Account Hacking
June 8, 2012 - FBI Hiring Foreign Language Speakers
June 8, 2012 - Forged Signatures On Renter's Insurance Policies Get Broker Evicted From Wall Street
June 7, 2012 - A Double-Dip Costs Citigroup Customers Commissions And Fees
June 7, 2012 - NASAA Attacks House Financial Services Proposal for Investment Adviser Self-Regulatory Organization
June 6, 2012 - Stockbroker's Friend, Cousin, And Ex-Wife Collide Into One Regulatory Mess
June 6, 2012 - FINRA Sanctions MetLife Manager In Elderly Client's Account Opening
June 6, 2012 - Can Wall Street Reinvent Itself?
June 6, 2012 - Commonwealth Stockbroker's Private Securities Transaction and Customer Loan Prove Boiling Frog Story
June 5, 2012 - Crumbling Marriage Collapses On Citigroup In Dispute Over Wife's Withdrawals
June 5, 2012 - Florida Law Enforcement Heating Up As 15 Charged In 12 New Securities Fraud Cases
June 5, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
June 4, 2012 - Former LPL Broker Fined And Suspended For Outside Brokerage Accounts
June 4, 2012 - SEC Approves Limit-Up Limit-Down Individual Stock And New Marketwide Circuit Breakers
June 4, 2012 - Crony Politics Of Congress Wants Crony Regulation Of Investment Advisers
June 4, 2012 - Notary Duped Into Signing Off On Insurance Loans Fined And Suspended By FINRA
June 1, 2012 - Can Wall Street Reinvent Itself?
May 31, 2012 - Lousy Telephone Call Overrides Username and Password Protections
May 31, 2012 - Congress Prepares To Sandbag Investors And Their Financial Advisers With More Wall Street Self Regulation
May 31, 2012 - UPDATE: DOJ Settles Complaint That NJ Company Excluded U.S. Job Applicants
May 31, 2012 - Federal Appeals Court's Dramatic Antifraud Interpretation Eviscerates SEC's Goble Victory
May 30, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
May 29, 2012 - FINRA Sanctions Broker For Marking Solicited Trades As Unsolicited
May 29, 2012 - Fido Financial Fraud? Watch Forbes' Hard Hitting Video Expose
May 25, 2012 - SEC Sustains Another Black Eye With One-Year Suspension of Former Director Barasch
May 25, 2012 - FYI, FINRA Cites Small Firm For Alphabet Soup of AML,OBA,PST,and WSP
May 25, 2012 - Residential Mortgage Backed Roosters Comin' Home To Roost As RMBS Task Force Gets To Work
May 25, 2012 - DOJ Announces Residential Mortgage-Backed Securities (RMBS) Investigative Working Group
May 24, 2012 - Can Wall Street Reinvent Itself? Provocative Panel Discussion on June 7th
May 24, 2012 - Back To The Future For Barred Stockbroker In Federal Expungement Case
May 24, 2012 - NSF Checks Checkmate Stockbroker's Career
May 24, 2012 - Brokerage Firm Goes All In But Loses High Stakes Employment Arbitration Poker Game
May 23, 2012 - DOJ Alleges New Jersey Tech Consulting Firm Fired Receptionist Who Complained About Excluding U.S. Job Applicants
May 23, 2012 - Bill Singer Has Three Nice Things To Say About the SEC -- in one day!
May 22, 2012 - Senate Testimony Of SEC Chair Schapiro Updates Dodd-Frank Derivatives Progress
May 22, 2012 - FBI Warns About Malware Attacks On Hotel Laptops
May 22, 2012 - Former Merrill Lynch Colleagues Sue Each Other In FINRA Arbitration
May 22, 2012 - Wall Street Regulator FINRA Sings Kumbayah In Regulatory Fight Against Conflicts And Unsuitability
May 22, 2012 - Hubby Dips Into Wife's Retirement Account And She Successfully Sues Brokerage Firm
May 21, 2012 - FINRA Cites KeyBanc For Employees' Outside Brokerage Accounts
May 21, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
May 21, 2012 - Jagger and . . . Arcade Fire, Foo Fighters, and Jeff Beck.
May 20, 2012 - Tepid Honeymoon of Facebook and NASDAQ Does Not Deliver The Big Bang
May 20, 2012 - SEC Chair Schapiro Cites Serious Domestic Business For Cancelling Flight To Beijing
May 19, 2012 - Another Trading Platform Scam Ends With Prison
May 18, 2012 - Desperate Homeowners Victimized By Mortgage Modification Predators
May 18, 2012 - Full video of May 17, 2012 House Financial Service Committee Settlement Practices Hearing
May 18, 2012 - Heightened Supervision Shortfalls Bring Down Chief Compliance Officer
May 17, 2012 - Relationship Manager Barred Over Allegations Of Stealing Bank Customer's Funds
May 17, 2012 - E*Trade Settles Auction Rate Securities Case But The Product Keeps On Giving Grief
May 16, 2012 - FBI investigating JP Morgan for criminal behavior
May 16, 2012 - In Vino Veritas But In Wall Street Verisimilitude
May 16, 2012 - Feds Catch Their Illegal Limit In Operation Phish Phry
May 15, 2012 - E&O Fraud At FINRA Member Firm Leaves Brokers E&Owing
May 15, 2012 - Feds Slam Deutsche Bank But Next Day FINRA Nominates Executive To Its Board
May 15, 2012 - Texas State Securities Board Issues Crowdfunding Warning
May 15, 2012 - For Godsakes, One Helluva Mess At The United States Commission On International Religious Freedom
May 14, 2012 - EMPLOYMENT TUESDAY At BrokeAndBroker.com
May 14, 2012 - New York State's Top Court Tells Wall Street Compliance Pros To Be Afraid, Be Very Afraid
May 14, 2012 - Hot Stories from Bill Singer now online at Street Sweeper
May 11, 2012 - Deutsche Bank And MORTGAGEIT Settle Federal Fraud Charges For $202 Million
May 11, 2012 - IMAGiNE The Little Kicks of Seinfeld Imitates Life On An iPad Near You
May 10, 2012 - Arbitrators Award $150,000 Punitive Damages In Variable Annuities Case
May 10, 2012 - UBS Exposes Its Frivolous Briefs In $21 Million FINRA Customer Arbitration
May 10, 2012 - Undisclosed Customer Settlement Checks Move Broker Into Regulatory Checkmate
May 10, 2012 - FINRA Says It Looked And Quacked Like A Felony And Must Be Disclosed
May 9, 2012 - FINRA Rejects A New York State Of Mind When It Comes To New Jersey Annuity Signatures
May 9, 2012 - Lehman Brothers Loses Another FINRA Promissory Note Collection Case
May 7, 2012 - SEC Publishes Superb Consumer Guide: Variable Annuities: What You Should Know
May 7, 2012 - Feds Convict Options Trading Pipe Bomber
May 7, 2012 - After Beyonce, Jay-Z, and Blue Ivy, Lenox Hill Hospital Deals With Medicare Fraud
May 7, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker
May 7, 2012 - Brokerage Firm and Its President Get Parking Ticket From FINRA
May 5, 2012 - Please Don't Feed The Pigeons. Feds Get Pleas In Real Estate Ponzi Scheme.
May 4, 2012 - JOBS Act Resources Online
May 3, 2012 - Feds Go Phish And A Whole Mess Of Defendants Are In Hot Water
May 3, 2012 - Borrowing From Customer Costs Stockbroker His Career
May 3, 2012 - Federal Inmate Indicted For Filing False Tax Returns From Prison
May 3, 2012 - Kevin Sepe and 10 Others Charged By SEC In Florida Stock Fraud
May 2, 2012 - Lawyer And Colleague Charged With Ripping Off Washington Mutual Bank and Elderly Victim's Apartment Building
May 2, 2012 - FINRA Fines And Suspends Lawyer For Practicing Law
May 2, 2012 - Morgan Stanley To Pay Nearly $2.4 Million ETF Fine and Restitution
May 2, 2012 - UBS To Pay Nearly Nearly $2 Million ETF Fine and Restitution
May 2, 2012 - Citigroup To Pay Over $2 Million ETF Fine and Restitution
May 2, 2012 - Wells Fargo To Pay Over $2.7 Million ETF Fine and Restitution
May 2, 2012 - Wells Fargo Settles With Customer But Broker Wins Expungement
May 1, 2012 - MGIC Settles Historic Mortgage Insurance Case Involving Maternity Leave
May 1, 2012 - Ameriprise Broker Barred Over Credit Card Fiasco
April 30, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
April 30, 2012 - To Serve Man In Jerusalem or Pennsylvania : Challenges to SEC Service
April 30, 2012 - Man of The Cloth's Investment Program Made From Whole Cloth
April 29, 2012 - A Persistent DWI Offender's Brokerage Career Is On The Skids
April 27, 2012 - Wells Fargo KO'd In Trainee Fee Case
April 27, 2012 - Ameriprise Employee Goes Down In Flames In Promissory Note Case
April 27, 2012 - Elderly and Infirm Victimized By Con Artist With Can't Lose Investment Formula
April 26, 2012 - Schwab Advisor Services Outlook Study. HNW Concerns and Confidence
April 26, 2012 - A Cynic's Guide To Shocking Revelations of Corruption in China And Mexico
April 26, 2012 - Commodities CEO Gets 30 Months In Prison In Mark To Market Scheme
April 26, 2012 - Mickey Mouse, Springsteen, Hookers And Wall Street's Credit Cards
April 25, 2012 - FINRA Arbitrators Say Public Customer Claimant Grossly Misled Wachovia
April 25, 2012 - Former Employee Wages 4 Year Battle Over Form U5 Expungement
April 24, 2012 - From The Land of Borat Comes A Double Dip Hack And Dump Securities Scam
April 23, 2012 - More Lord Voldemort Than Harry Potter In British Teens' Securities Fraud
April 23, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
April 23, 2012 - Feds Nab Florida Pair In Alleged Investment Fraud On Foreign Investors
April 20, 2012 - Broker Impersonates Former 83 Year Old Client In Annuity Withdrawal Request
April 20, 2012 - Stockbroker Barred For Continuing Education Cheating
April 20, 2012 - Twice Barred Scamster Still Pulls Off Million Dollar Muni Bond Fraud
April 19, 2012 - Madoff, GM, UBS Name Droppers Charged In Federal Investment Fraud
April 19, 2012 - Merrill Lynch Trainee Doctors Failed Scores And Tests FINRA's Patience
April 18, 2012 - Three Time Loser McDonald Sentenced In RAI Hotel Scam
April 18, 2012 - Feds Nab Russian Hacker In ARNA and BIOD Options Trading Scam
April 17, 2012 - FINRA Arbitrators Wrestle With Considerable Confusion In Wells Fargo Employment Case
April 17, 2012 - FINRA Arbitrator Finds Merrill Lynch Defamed Former Broker
April 17, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker
April 17, 2012 - Let Us Prey Together As Affinity Fraud Hits Home
April 16, 2012 - Black Diamond's Finger Gets 54 Months In Federal Securities Fraud
April 13, 2012 - Stockbroker Convicted Of Motor Vehicle Felony Poses Reporting Problems For Brokerage Employer
April 13, 2012 - Broker Fined And Suspended For Equity Indexed Annuities and Whole Life Outside Business Activities
April 13, 2012 - Bounced Personal Checks Get Merrill Lynch Broker Suspended By FINRA
April 12, 2012 - Four Warnings Brokers Miss When Settling With FINRA
April 12, 2012 - Allegations Of Intolerable Work Conditions Fail In Former Merrill Lynch Employee's Promissory Note Case
April 11, 2012 - Frankenstein Posters Come Back From The Dead To Defraud Collectors
April 11, 2012 - FBI Agent Sentenced For Covering Up His Love Affair With Confidential Informant
April 11, 2012 - Stockbroker Goes To Prison But Morgan Stanley Customers Snooze And Lose
April 10, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
April 10, 2012 - Feds Say Fugitive Day Trader Ran Ponzi Scheme On Gay Community
April 9, 2012 - Father And Daughter Children's Internet Securities Fraudsters Headed To Prison
April 6, 2012 - Wachovia Somewhat Stiffed by Stifel Nicholas In $7 Million Raiding Case
April 5, 2012 - Arbitrators Award Damages For Misleading and Incomprehensible Trade Confirmation
April 5, 2012 - Merrill Lynch Savaged By FINRA Arbitrators In Historic Employee Dispute
April 5, 2012 - Working With A Wall Street Recruiter To Find That Dream Brokerage Job
April 4, 2012 - Cambridge Legacy Securities Loses $1.5 Million FINRA Limited Partnership Arbitration
April 3, 2012 - Weed Whacker Krittibas Ray Strikes Again As Defunct Brokerage Firm Ordered to Arbitrate Customer Claims
April 3, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
April 3, 2012 - Former Kellogg Partners Head Floor Broker Wins High Profile Employee Bonus Dispute
April 2, 2012 - A Corrupt Politician's House Is Not A Home
March 30, 2012 - ICON Wins About $700,000 But Loses Injunction Against Former Employee In FINRA Arbitration
March 30, 2012 - EZ Pass Fraud Using Stolen Credit Cards Seems Too Easy
March 30, 2012 - UPDATE: MF Global's Gordian Nots Will Require A Prosecutor's Sword
March 29, 2012 - Alibi Witness In HSBC Tax Fraud Case Convicted Of 13 Felonies
March 29, 2012 - Firm Submits Erroneous Trade But Sues UBS For Its Failure To Cancel
March 28, 2012 - BACKSTAGE WALL STREET: An Insider's Guide
March 27, 2012 - Hacker Of The Stars Pleads Guilty And Faces 60 Years In Prison
March 27, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
March 27, 2012 - Broker Fined and Suspended For Untimely Disclosure Of Felony For Unpaid Child Support
March 26, 2012 - UPDATE: Online Trojan War Ends With Prison For Eastern European Bank Account Thieves
March 26, 2012 - Belarussian Identity Thief Sentenced in Financial Institution Fraud Ring
March 26, 2012 - Merrill Lynch Asks Court To Rule That Sleeping FINRA Arbitrator Engaged In Misconduct
March 23, 2012 - Eloquent Arbitration Decision Rules For Merrill Lynch In Pro Se Employee Promissory Note Case
March 23, 2012 - In New SEC Fraud Case, Wall Street Seems Lined With Potemkin Villages
March 22, 2012 - UPDATE : Oshkosh! Omigosh!! Carter's Executives Named In Federal Fraud Indictments
March 21, 2012 - One Mom Files An ADA Complaint Against Midget Football
March 20, 2012 - Broker Wins Expungement of Sleeping Dog Customer Complaint
March 20, 2012 - Judge Rakoff's Wall Street Zombies Arise In FINRA Citi Settlement
March 19, 2012 - FOREX Trading Platform Scam Ends In Guilty Plea
March 19, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
March 19, 2012 - Morgan Stanley Loses Rip Van Winkle Promissory Note Case Against Employee
March 16, 2012 - Three Lawyers Later, Claimant Loses Trust Case Against Morgan Stanley
March 16, 2012 - The SEC Couldn’t Stop Madoff or Stanford But Jams Up Judge Rakoff Over Citigroup Settlement
March 16, 2012 - An Old Man In A Dry Month Being Spoken To By A Young Tattooed Redhead Waiting for The Rain
March 16, 2012 - Feds Convict Dodgy Teacher of Low Income Students In Bizarre Fraud
March 16, 2012 - Bill Singer Comments on Second Circuit's Stay of Judge Rakoff's Denial of SEC v. Citigroup Settlement
March 15, 2012 - Edward Jones Sought Injunction and Damages from Former Employee Who Joined Morgan Stanley
March 15, 2012 - SEC Announces Historic Pre-IPO Enforcement Activity in Social Media Sector
March 15, 2012 - AXA Fined $100,000 For Not Axing Ponzi Broker Sooner
March 15, 2012 - America's Existential Peril: 29 Years Old, In Debt, and Disheartened
March 15, 2012 - Modernize Wall Street Regulation Instead of Occupying the Industry
March 14, 2012 - Former Wachovia Employee Files $1.3 Million Forgivable Loan Arbitration Claim Against Firm
March 12, 2012 - Another Registered Person Loses FINRA Exam Waiver Battle
March 12, 2012 - Wine Fraud At the Auction House. EMPLOYMENT TUESDAY at BrokeAndBroker
March 12, 2012 - From Mexico With Love Comes CIA Dolphin Spy Flix
March 10, 2012 - Former Employer Seeks $12,000 in Damages against Employee Seeking $500,000
March 9, 2012 - Arbitrators Award Over $2 Million for Unsuitable Tenants In Common Real Estate Transactions
March 9, 2012 - Tenacious D and the Battle of Christian Rock Bands' Ponzi Fraud
March 8, 2012 - Bill Singer's Incredible Five-Step Due Diligence. Tenacious D and the Christian Rock Battle of the Bands
March 8, 2012 - Stanford Convicted But Plenty of Shame and Blame to Go Around
March 7, 2012 - The Old Client Phone Number and Email Address Switcheroo Backfires on UBS Broker
March 7, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker
March 6, 2012 - Former Morgan Stanley Smith Barney Trader's $1 Billion Position Causes $15 Million Loss
March 6, 2012 - Wells Fargo and Former Employee Go Toe To Toe Over Promissory Note and Deferred Compensation
March 5, 2012 - Two Edgy Wall Street Articles From New York Post Reporters Bresiger and Kosman
March 4, 2012 - Jeff Beck At the White House. Perfect cure for a crummy down-market Friday in March.
March 2, 2012 - Stockbroker Fined and Suspended for Failure To Disclose Bogus Auto Theft Report Misdemeanor
March 2, 2012 - TD Ameritrade Sued by Customer Over Failure To Exercise In-The-Money Options
March 1, 2012 - Raymond James Indie Office Managers Prevail Over Former Employee in FINRA Arbitration
February 29, 2012 - FBI Nabs Bogus Priest Who Ripped Off Elderly Nun In Fake Will Scam
February 28, 2012 - FBI Enlists Gordon Gekko and Mickey Mouse to Stop Insider Trading -- really, ya gotta see this.
February 28, 2012 - Trading Away From His Brokerage Firm Gets Registered Person Fined and Suspended
February 28, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
February 28, 2012 - Appeals Court Class Certification in Merrill Lynch Racial Discrimination Case Sets Stage for Conflict With Supreme Court's Wal-Mart
February 24, 2012 - Bogus Securities And Exchange Commission Staff Offering $450,000 For Peanuts Down
February 24, 2012 - Wells Fargo Advisors Wins Trainee Fees Arbitration For $25,000
February 24, 2012 - Wachovia Gave Customer With GM Stock Problem The Old Shuffle
February 23, 2012 - Former Chase Investment Services Employee Wins Six-Figure Defamation Award
February 23, 2012 - FINRA Arbitrators Hit Kovack Securities With Punitive Damages for A Broker's Egregious Behavior
February 22, 2012 - 97 months In Prison For Stealing Wall Street Trading Code But Only 18 Months For Selling Computers to Terrorist State of Iran
February 21, 2012 - Statutory Disqualification for Undisclosed Tax Liens Sustained by FINRA, SEC, and Federal Court
February 21, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
February 21, 2012 - No Foolish Consistency in Agrawal and Aleynikov But One Hell of A Stunning Reversal
February 21, 2012 - End Of An Error: Wirehouses, Financial Supermarkets, and Wall Street's Missteps
February 17, 2012 - UPDATE: American Greed's Eric Stein To Be Sentenced, Yet Again, To Prison
February 17, 2012 - Barred Stockbroker Seeks Approval As a Mortgage Loan Originator
February 16, 2012 - Arbitration Claimant Wins Case But Damages Smorgasbord May Have Hurt
February 15, 2012 - LPL Sued for $8 Million In Real Estate Investment Dispute
February 15, 2012 - Broker Suspended and Fined for Misrepresenting Variable Annuity Guaranteed Rate of Return
February 15, 2012 - Business Opportunity Fraud From Sunny Costa Rica
February 15, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
February 14, 2012 - Securities and Exchange Commission Issues 5 Page Report Announcing 1 Word Change
February 11, 2012 - BREAKING STORY from BrokeAndBroker
February 10, 2012 - FINRA Warns Stockbrokers To Kick The Tires On Private Placements Deals
February 10, 2012 - Reuters' Emmanuel Olaoye Authors Compelling Article on Retaliation Against Compliance Officers
February 9, 2012 - The Role of Women on Wall Street Fuels Another Debate Over Job Titles
February 9, 2012 - UPDATE 2012: The Great Coffee Caper Ends With Prison Terms For Conspirators
February 9, 2012 - UBS Loses Million Dollar Promissory Note Arbitration Against Former Employee
February 8, 2012 - FINRA Fines and Suspends Client Associate For Altering IPO Forms
February 8, 2012 - Spoiler Alert! Con Artist Pleads Guilty To Trying To Fix Federal Prison Sentence
February 8, 2012 - E*Trade Loses Inverness Medical Options Arbitration But Gains Offset
February 7, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
February 7, 2012 - Bill Singer Photographs Kafka's Doors to the Law
February 6, 2012 - FINRA Finds A Lot Of Bull In A China Shop
February 6, 2012 - A Personal Message From Bill Singer
February 2, 2012 - Beware of Alternative Higher Rates of Return For Your Fixed Income Portfolio
February 2, 2012 - Wall Street Compliance Practices Come Under Scrutiny by FINRA and the SEC
February 2, 2012 - Pre-Announced Compliance Audits Criticized In SEC Ponzi Settlement
February 2, 2012 - FINRA Sanctions Brokerage CEO For Delegating To Part Time Compliance Officer and FINOP
January 31, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker
January 31, 2012 - RRBDlaw.com : Closing the calendar on FINRA's 2011 Cases of Note
January 29, 2012 - UN and NLRB Employee Faces 20 Years In Federal Prison For Holding Both Jobs
January 28, 2012 - Wall Street Eugenics : SEC Charges Microcap Fraud . . . again
January 27, 2012 - FINRA Hits Merrill Lynch With Historic $1 Million Fine For Circumventing Mandatory Arbitration During Collection of Employee Promissory Notes
January 26, 2012 - Convicted Felon Out On Supervised Release Arrested In Lost Pet Fraud
January 25, 2012 - Petscam.com : Convicted Felon Out On Supervised Release Arrested In Lost Pet Fraud
January 25, 2012 - Stockbroker Defrauds Cerebral Palsy Victim and Elderly
January 24, 2012 - Wall Street Regulators Perpetuate the Big Lie of Market Integrity
January 24, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
January 24, 2012 - Branch Manager Suspended and Fined For Leaving Office Keys with Landlord
January 23, 2012 - Former Questar Employee Wins Over $3 Million in FINRA Defamation Arbitration
January 19, 2012 - FINRA Arbitrators Award Over $9 Million In CapWest Private Placement Suit
January 19, 2012 - FINRA Arbitrators Enjoin Brokerage Raid And Enforce Non-Compete
January 18, 2012 - Merrill Lynch Wins FINRA Mutual Funds Arbitration Involving Margin
January 18, 2012 - Russians Indicted In Ongoing Malware War Against U.S. Credit Card Holders
January 18, 2012 - Hospital Director Sentenced to 3 Years in Federal Prison in Construction Kickback Scheme
January 18, 2012 - The Great Kentucky Caviar Criminal Caper Comes To An End In Ohio
January 18, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
January 17, 2012 - UPDATE: Industrial Espionage at Dow Chemical
January 16, 2012 - A Devine Ponzi Leads to Prison and $2 Million Restitution
January 12, 2012 - Sullivan And Cromwell Law Partner Sentenced to Prison In IRS Case
January 12, 2012 - Nevin Shapiro and the Miami Fraud Machine: Turn The Cash Around
January 11, 2012 - Banc of America Broker Caught Downloading and Emailing Client Info
January 10, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
January 10, 2012 - The Desperate Stockbroker and Her Father's Korean War Medals
January 10, 2012 - Feds Arrest ATM Skimming Ring Installer Who Targeted HSBC Branches
January 6, 2012 - Bill Singer Ends His "Street Legal" Column After 14 Years
January 6, 2012 - God Makes Wind, The Apostles Market It, And James Rivera Sells It
January 6, 2012 - 11th Circuit Raises FINRA Due Process Dilemma in Busacca Appeal
January 6, 2012 - TSA's Behavior Detection Officer : Quis custodiet ipsos custodes?
January 6, 2012 - UPDATE: Hospital CEO Caused Payment of $60,000 Bribe to Senator Keep Job
January 5, 2012 - Department of Defense Reveals New Stealth Travel Auditor Fraud Drone
January 4, 2012 - Discharged Wachovia Employee Wins Form U5 Expungement
January 4, 2012 - Hospital CEO Caused Payment of $60,000 Bribe to Senator Keep Job
January 4, 2012 - Whistleblowers Claim Medicare Defrauded Into Paying For Hospice Care
January 3, 2012 - EMPLOYMENT TUESDAY at BrokeAndBroker
January 3, 2012 - Guilty Pleas In Antitrust Division Municipal Bond Bid Rigging Case
December 31, 2011 - Arbitrators Say Deutsche Bank Securities Managing Director's Conduct Was Reprehensible
December 30, 2011 - Customer Settles Annuity Claim But Stockbroker Wins Expungement
December 29, 2011 - A Wachovia Shareholder's Personal Fraud Case Gets Whacked In Federal Court
December 28, 2011 - Former UBS Employee Sues Over U5 Failure to Disclose 2003 Termination
December 28, 2011 - Carl Kipper's Exoneration In The Springfield, Merrill Lynch, $14 Million CDO Mess
December 27, 2011 - In Citigroup Arbitration, A Falling Tide Stranded All Boats And Investments
December 27, 2011 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
December 27, 2011 - Vlad the Emailer : Feds Bust Romanian Phishing Ring
December 23, 2011 - UPDATE: Chinese Agricultural Researcher Charged Under Economic Espionage Act for Trade Secret Thefts at Dow and Cargill
December 22, 2011 - Merrill Lynch Wins Solicitation Injunction Against Former Employee
December 21, 2011 - A Favorite Contractor And The Corrupt Home Building Senator
December 21, 2011 - Bharara Adds Another Notch As Madoff's Controller Pleads Guilty to Four Counts
December 20, 2011 - Offsetting Fouls In Customer Renege Arbitration About September 2008 Market Crash
December 20, 2011 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
December 20, 2011 - UPDATE: Lawyer Barred From Practicing Before SEC Sues
December 20, 2011 - SEC Files Historic Appeal of Judge Rakoff's Citigroup Settlement Rejection
December 16, 2011 - DELL-ete Further Emails from XPS Premium Support, PUHLEASE!
December 16, 2011 - Wells Fargo Hit With Punitive Damages in FINRA U5 Defamation Case
December 15, 2011 - Keeping It Real (Estate) As Feds Bust Online Scamster
December 15, 2011 - No Dell-iverance For Broken Laptop Customer
December 15, 2011 - A Broker's Wife is the Golden Goose That Laid Illegal Eggs
December 13, 2011 - No Farmer In The Dell -- My Dead Laptop and Customer Disservice
December 13, 2011 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
December 13, 2011 - SEC Says That All That Glittered In Guyana Mining Deal Wasn't Gold
December 12, 2011 - UPDATE: Bill Singer Criticizes US Prosecutor For Expressing Disappointment With Jury's Not Guilty Verdict
December 12, 2011 - UPDATE:Credit Card Identity Theft From Russia (And Not With Love)
December 10, 2011 - GUEST BLOGGER: So Confused by Henry Bassman
December 10, 2011 - Mother And Daughter's Convenient Joint Account Leads to Odd Arbitration Win Against Wells Fargo
December 9, 2011 - Bill Singer's Comment on Round One of Corzine's Congressional Testimony
December 9, 2011 - A Side of Romanian Identity Theft With Your Footlong Subway
December 9, 2011 - UPDATE: The Great Coffee Caper Ends With Federal Criminal Guilty Verdict
December 9, 2011 - A Cold Cup of Overnight Coffee With A Roach Versus The Lousy Fortune Cookie
December 7, 2011 - A Lot of Greif Between Investment Bank Employer And Former Employees
December 7, 2011 - Range Rover, Jaguar,and Jimmy Choo Shoes Highlight SEC's Prime Bank Case
December 6, 2011 - Former Bank of America Broker Suspended and Fined For NSF Checks and ATM Withdrawals
December 6, 2011 - Counterfeit Perfume Seized in Stinking Federal Cases
December 6, 2011 - Prosecutorial Misconduct Cited in Landmark Dismissal by Federal Court of Foreign Corrupt Practices Act Case
December 5, 2011 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
December 5, 2011 - Fake Securities Regulators Scam Investors
December 5, 2011 - Children of Three Deceased SSI Recipients Settle Federal Lawsuit Over Benefits Paid After Deaths
December 3, 2011 - SEC Enforcement Director Khuzami Offers A Nugget On the Current Insider Trading Standard
December 2, 2011 - Habla Espanol and No Finding of Misconduct in Chase / LPL Arbitration
December 2, 2011 - FINRA Arbitration Expungement for Wells Fargo Broker
December 2, 2011 - Prison for Sellers of Dietary Products Contaminated by Rodents and Milk
December 1, 2011 - SEC Commissioner Warns of Disclosure Overload
December 1, 2011 - Former UBS Employee Sentenced to Prison In Online Gambling Fraud
December 1, 2011 - Lack of Communication About A Conservative Portfolio Ended In A FINRA Arbitration
December 1, 2011 - Judge Rakoff Rejects SEC's Settlement With Citigroup. Bill Singer's In-Depth Analysis.
November 30, 2011 - Bah Humbug!
November 29, 2011 - Former UBS Broker Sues Firm For $3.8 Million in Deferred Comp and Unused Vacation Time
November 29, 2011 - UBS Goes After Former Broker for Three Promissory Notes
November 29, 2011 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
November 29, 2011 - Computer Hacker Job Applicant Earns Marriott Platinum Courtroom and Prison Yard Bonus Points
November 26, 2011 - Fatal Attraction Fake Terrorist Case Grounded at LAX
November 26, 2011 - Broker and Brokerage Firm Earn TKOs in U5 Expungement / Promissory Note Arbitration
November 25, 2011 - FINRA CEO Ketchum's Dear Jon (Corzine) Moment
November 24, 2011 - FINRA Arbitration Claimant's "Short" Dog Won't Hunt
November 24, 2011 - UPDATE:Portrait of a Swindler as Young Art Felon
November 24, 2011 - Pelican Holdings, Fleming Endowment and Morgan Keegan: A Blow By Blow FINRA Arbitration
November 22, 2011 - Feds Bust Sports Memorabilia Ring
November 22, 2011 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
November 22, 2011 - Merrill Lynch Wins Five-Year FINRA IRA Arbitration Saga
November 21, 2011 - Botfly LLC's Lewalski Sentenced in Federal FOREX Ponzi Case
November 18, 2011 - FINRA Arbitrators Award Over $5 Million To Former RBC Employee
November 18, 2011 - Former Schwab Employee Lost Defamation Arbitration But Employer Gets Slammed By Panel
November 17, 2011 - End the Politics of Wall Street Regulation: Decentralize FINRA and the SEC
November 16, 2011 - Bill Singer Criticizes US Prosecutor For Expressing Disappointment With Jury's Not Guilty Verdict
November 16, 2011 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
November 15, 2011 - Raymond James Wins Attorneys' Fees In Florida FINRA Arbitration To Recover On Employee Promissory Notes
November 11, 2011 - Another Vending Machine Business Opportunity Scam Ends With Jail Time
November 10, 2011 - Operation Ghost Clicks Nabs DNSChanger Malware Ring
November 9, 2011 - Index of TABS Now Added to RRBDlaw.com Website
November 9, 2011 - Citigroup Stockbroker Wins Expungement Even Though Customer Was Paid a Settlement
November 9, 2011 - The Ghost of Bear Stearns Raised in $59 Million FINRA ARS Arbitration Against JP Morgan
November 8, 2011 - Clever Cisco China Counterfeit Conspiracy Crushed
November 8, 2011 - New Street Legal Column Online at Registered Rep Magazine
November 7, 2011 - EMPLOYMENT TUESDAY at BrokeAndBroker
November 7, 2011 - Child Pornography Is Not A Joke -- another case in point.
November 7, 2011 - Child Pornography Hid Behind XBox LIVE
November 4, 2011 - Retailer Lowe's Nailed In USERRA Case And Hammered by Feds for Firing Iraq Veteran
November 4, 2011 - Unpaid $10,000 Casino Marker Leads to Stockbroker's Suspension and Disqualification
November 3, 2011 - RRBDlaw Monthly Updates Now Online. Analysis by Bill Singer
November 2, 2011 - 12 Defendants Named In NY Medicare Fraud Cases
November 2, 2011 - Another Ex-Im Bank Fraud Ends With Guilty Plea
November 2, 2011 - The Wife Dies of Cancer, The Husband Has Alzheimer's - And Their Stockbroker Is Barred
November 2, 2011 - EMPLOYMENT TUESDAY at BrokeAndBroker
November 1, 2011 - Daughter's College Tuition And Her Stockbroker Father's Fraud
October 31, 2011 - Bill Singer Breaks FINRA Story -- SEC Takes Self Regulatory Organization To Woodshed
October 27, 2011 - Vivus Lost Wages : BioPharma Company's FDA Denial Slammed Investor With Margin Call
October 26, 2011 - UPDATE: NinjaVideo Leader Queen Phara Pleads Guilty In Federal Case
October 26, 2011 - UN and NLRB Employee Faces 20 Years In Federal Prison For Holding Both Jobs
October 25, 2011 - EMPLOYMENT TUESDAY at BrokeAndBroker
October 25, 2011 - UPDATE:SEC Settles Infomercial Case Against BetterTrades
October 22, 2011 - Two Autos and Bags of Cash Kickbacks in Detroit Public Schools Wellness Case
October 21, 2011 - UPDATE: Former FDA Chemist Named in Insider Trading Cases
October 21, 2011 - The Ex-Im Bank, Gilberto Baez-Garcia, and The Ballad of El Paso
October 21, 2011 - SEC Settles Infomercial Case Against BetterTrades
October 20, 2011 - Tenet Healthcare, Archipelago, Andover and PCX : A Regulatory Trip And Fall Down Memory
October 19, 2011 - Citi Smith Barney Customer Sues Over 2008 Failure to Sell Lehman Shares
October 19, 2011 - UPDATE: Former FDA Chemist Named in Insider Trading Cases
October 19, 2011 - EMPLOYMENT TUESDAY
October 18, 2011 - Cancelled FAZ Purchase Leads to MSSB Arbitration and Expungement
October 17, 2011 - UBS Broker Wrongly Named In Customer Arbitration Forced Into Expungement Nightmare
October 14, 2011 - JonesTrading Seeks $12.4 Million Damages Against Nomura Securities
October 14, 2011 - The FNMA Suitability Test: If my aunt were a man, she'd be my uncle
October 14, 2011 - Arbitrator Awards About One-Fifth of Training Fee Damages to Wells Fargo
October 13, 2011 - Forbes' Matt Schifrin Launches Online Dialog About FINRA And The Future of Wall Street Regulation
October 12, 2011 - Stockbroker Wins Defamation Arbitration Against Former Employer
October 12, 2011 - Lehman Suffers First Loss in FINRA Arbitration Collection of Promissory Notes
October 12, 2011 - UPDATE: The Comeback Story of BLOAQ : On the Radar, On Fire, And . . . hmmmm
October 12, 2011 - EMPLOYMENT TUESDAY at BrokeAndBroker
October 11, 2011 - A DWI Nearly Ends Stockbroker's Career
October 10, 2011 - Stockbrokers Sue To Recover Unpaid Commissions
October 7, 2011 - FINRA Loses Landmark Federal Appeals Case on Collection of Fines
October 7, 2011 - TIC-ed Off Customers Sue Over Tenants In Common Investment
October 6, 2011 - BREAKING NEWS: FINRA Loses Historic Appeal. Right to Collect Fines Curtailed
October 5, 2011 - EPA and FBI Special Agents Have Love Affair Amidst Hazardous Waste Case
October 4, 2011 - Wells Fargo Broker Barred After $8.9 Million in FNMA and Freddie Mac Customer Settlements
October 4, 2011 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
October 4, 2011 - UPDATE: Did Hoops Dreams Turn to Nightmare in Alleged Charity Scam?
October 3, 2011 - SEC Warns About Misuse of Master Sub-Account Model
September 30, 2011 - The Comeback Story of BLOAQ : On the Radar, On Fire, And . . . hmmmm
September 30, 2011 - The Lawyer, Judge, Financial Wizard's Tranche Trading Platform Deal
September 29, 2011 - Undisclosed IRS Liens on Form U4 Result in FINRA Fine and Suspension
September 28, 2011 - Stockbroker Barred For Submitting Fraudulent Hotel Conference Room Invoices
September 27, 2011 - EMPLOYMENT TUESDAY
September 26, 2011 - Online Trojan War Ends With Criminal Pleas In Bank Accounts Theft
September 26, 2011 - Investment Club Fraudster Watson Pleads Guilty in Federal Criminal Case
September 26, 2011 - Zombie Client Signed Annuity Document 20 Days After His Death
September 23, 2011 - Morgan Stanley Smith Barney Female Employee Suspended and Fined for Unauthorized Signatures
September 23, 2011 - Duck, Duck, Goose: Professional Hunting Guide Sentenced to Prison
September 22, 2011 - A.G. Edwards Loses Training Fee Case to Pro Se Stockbroker
September 22, 2011 - Scottrade Exonerated For Inability to Deliver Suspended BCIT Shares
September 22, 2011 - Excessive Trading and Unauthorized Discretion In Elderly Clients' Accounts
September 22, 2011 - Misuse of Customer Data on Flash Drive Crashes Stockbroker's Career
September 22, 2011 - Fabricated Customer Statements Result in Felony Plea and Bar for Stockbroker
September 20, 2011 - Goldman Sachs Employee Fired, Fined, and Suspended for Personal Credit Card Expenses
September 20, 2011 - UPDATE: The Epidemic of Florida Medicare Fraud
September 20, 2011 - EMPLOYMENT TUESDAY
September 19, 2011 - Public Customer Gets Legg Mason Fund Settlement From Ameriprise But Broker-Of-The-Day Exonerated
September 19, 2011 - Using Promissory Note Proceeds For Weed Whacker Doesn't Cut It With FINRA
September 16, 2011 - FINRA Bars Morgan Stanley Smith Barney Broker for Fabricating Emails
September 15, 2011 - Two Grave FINRA Arbitrations Involving Deceased Customers of Edward Jones and MSSB
September 14, 2011 - Securities Regulation in the USA: Unending madness
September 14, 2011 - The SEC, Dodd-Frank, The Jabberwocky, and Professor Irwin Corey
September 13, 2011 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
September 13, 2011 - Bill Singer's Street Legal Column Now Online
September 12, 2011 - SEC Files Complaint Against Black Diamond Securities and CEO Finger
September 10, 2011 - FINRA Fines and Suspends Broker For Role as Exhibitor at Dental Convention
September 9, 2011 - No Show Employee Arbitration Claimant Sanctioned in Raymond James Case
September 9, 2011 - FINRA's Un-explained Arbitration Decision Awards Nearly $1 Million to Former TD Ameritrade Employee
September 8, 2011 - Lien on Me. FINRA Cites Two Brokers For Untimely Lien Disclosures on U4
September 8, 2011 - Padded Expenses Gets Hartford Broker Barred -- But is it a double-standard?
September 7, 2011 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
September 6, 2011 - Fired RBC Customer Files Angry FINRA Arbitration
September 6, 2011 - Amending Form U4 for Felony Charges and Convictions: One Broker's Tortured Path to FINRA Disciplinary Action
September 5, 2011 - FINRA Arbitrators Award Millions Awarded in Elder Abuse Case
September 1, 2011 - Oppenheimer Hit With $1 Million Damages in FINRA Arbitration
August 31, 2011 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
August 30, 2011 - FINRA Arbitrators Sanction Citigroup for Delayed Currency Conversion of Loonie to US Dollar
August 30, 2011 - FBI Issues Warnings About Hurricane Irene Charity Scams
August 30, 2011 - Dead Canadian Bear Haunts Michigan Hunter
August 27, 2011 - Antitrust Division Gets Tax Lien Bid Rigging Pleas
August 25, 2011 - The Epidemic of Florida Medicare Fraud
August 24, 2011 - Neither a Borrower Nor A Forger Be, FINRA Tells Barred Broker
August 24, 2011 - EMPLOYMENT TUESDAY at BrokeAndBroker
August 23, 2011 - ETRADE Broker Wins FINRA Flash Crash Exxon Arbitration -- Maybe, Sort Of?
August 23, 2011 - National Cancer Institute Employee Steal Government Funds for Personal Use
August 23, 2011 - U5 Says "Discharged" But FINRA Arbitrators Say "Voluntarily Resigned"
August 23, 2011 - The American Integrity Prime Rate Scam
August 23, 2011 - August FINRA Disciplinary Case Update by Bill Singer
August 18, 2011 - Software Pirate Walks Federal Plank -- gets time in the brig
August 17, 2011 - Employee Wins U5 Wrongful Termination / Defamation FINRA Arbitration
August 16, 2011 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
August 16, 2011 - Wells Fargo / Wachovia Loses Slam Dunk FINRA EFL / Promissory Note Arbitration
August 15, 2011 - New SEC Whistleblower Rules: How can you file and collect the big bucks?
August 12, 2011 - Fudging a Failing Exam Grade Earns FINRA Fine and Suspension
August 12, 2011 - FINRA Arbitration Panel Hammers Employee Seeking U5 Expungement
August 12, 2011 - Penson and Merrill Lynch Suffer Setbacks With Attorneys' Fees in FINRA Arbitrations
August 11, 2011 - Citigroup Global Markets Hit With $500,000 Fine in FINRA Failure to Supervise Case
August 10, 2011 - The Fed Speaks. Congress Dawdles
August 10, 2011 - The FTC's Do Not Call List -- What's the point?
August 10, 2011 - Due Diligence and Private Placements: FINRA's On a Rampage
August 9, 2011 - Bill Singer Calls for Economic Plebiscite
August 8, 2011 - EMPLOYMENT TUESDAY
August 8, 2011 - Stock Index Circuit Breakers Are In Place -- Will They Be Needed This Week?
August 8, 2011 - Time for a National Referendum on Economic Policy
August 8, 2011 - New Stock Market Circuit Breakers May Be Tested. What They're Supposed to Do and How.
August 7, 2011 - Bill Singer Proposes National Economic Referendum
August 6, 2011 - The Woody Allen Choice: Hopelessness or Extinction?
August 5, 2011 - Bill Singer Supports the National Adjudicatory Committee Candidacy of David M. Sobel
August 5, 2011 - A Friday Job Numbers Upside Surprise Gift to BrokeAndBroker Readers
August 5, 2011 - UBS Admonished for Unilateral Decision to Close Kalamazoo Office in FINRA Promissory Note Arbitration
August 4, 2011 - Employee Forgivable Loans (EFL) and Wall Street Promissory Notes (PN) Round-up
August 4, 2011 - Straw Man Mortgage Fraud Ends In Federal Prison
August 3, 2011 - FOREX Scammer Pleads Guilty
August 2, 2011 - Taking the Fifth At FINRA -- Not What You Might Think
August 2, 2011 - In a Consolidated FINRA Intra-Industry Employment Case, Arbitrators Blast Both Parties
August 2, 2011 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
August 2, 2011 - Away Accounts : Outside Brokerage Accounts Catching FINRA's Attention
August 1, 2011 - The Bill Singer Anti-Campaign Contribution Pledge. Time for Political Payback
July 28, 2011 - Feds Allege Credit Repair Con Artists Obtained Millions in Fraudulent Loans
July 28, 2011 - Away Accounts Now Under FINRA's Scrutiny
July 28, 2011 - FINRA Slams Ops Mgr For Misuse of Credit Cards and Checks
July 26, 2011 - UBS Broker Wins FINRA Expungement After Customer Sues Over Lehman and Citigroup Losses
July 26, 2011 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
July 26, 2011 - Gusrae Kaplan Bruno & Nusbaum's Marty Russo Wins $8.1 Million FINRA Reit Arbitration
July 23, 2011 - Former WaMu Brokers Prevail in FINRA Arbitration Solicitation Case
July 22, 2011 - Bill Singer Comments on Mary Schapiro's CNBC Interview -- veteran lawyer calls for regionalization of SEC
July 21, 2011 - TWO Explosive "Street Sweeper" Blogs Now Online
July 21, 2011 - Feds Bust Bank Guarantee Scam
July 20, 2011 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
July 19, 2011 - Pro Se Broker Claimant Wins FINRA Arbitration In Wrongful Termination Case
July 18, 2011 - UPDATE: Bulgarian Sentenced for ATM Skimming Fraud
July 14, 2011 - FINRA Arbitrators Recommend Expungement of "Clearly Erroneous" Customer Allegations
July 14, 2011 - How Many FINRA Arbitrators Does It Take To Throw A Flag?
July 13, 2011 - Claimants' Non-Lawyer Representative Muzzled by FINRA Arbitration Panel
July 13, 2011 - EMPLOYMENT TUESDAY AT BROKEANDBROKER.COM
July 12, 2011 - Wells Fargo Wachovia Lose $7 Million Employee Whistleblower Case
July 11, 2011 - Pro Se Former Employee Beat Wells Fargo / Wachovia in FINRA Arbitration
July 11, 2011 - New Registered Rep. Magazine
July 8, 2011 - SEC Puts the Hurt on Hertz -- but is that fair and balanced?
July 8, 2011 - Citigroup Says it Overpaid Former Managing Director -- he disagrees in FINRA Arbitration
July 8, 2011 - FINRA Arbitrators Slam Merrill Lynch Professional Clearing With Massive Damage Award
July 7, 2011 - Antitrust Chief Resigns After Only Two Years on Job
July 7, 2011 - WeGoLook Will Check Out Online Offerings for You
July 7, 2011 - Lottery Scamster Who Preyed On Elderly Get Federal Jail Terms
July 6, 2011 - USERRA Case Brought Against Trucking Company On Behalf of Military Veteran
July 6, 2011 - Employment Tuesday at BrokeAndBroker.com
July 5, 2011 - The Old Norwegian Monarchy Brooklyn Bridge Scam
July 5, 2011 - "Business Opportunity" Scam Ends With Federal Prosecution
July 5, 2011 - Feds Bust Another Real Estate Auction Bid Rigging Conspiracy
July 5, 2011 - Employment Tuesday at BrokeAndBroker.com
July 5, 2011 - Merrill Hit With Delayed Discovery Sanctions in FINRA Customer Arbitration
July 1, 2011 - From Romania With Love: Online Shopping Scam
June 30, 2011 - Ameriprise Forgery Case: The turtle of self regulation
June 30, 2011 - Selling Away. Failure to Supervise. Punitive Damages. Discovery Sanctions. All in one FINRA Arbitration
June 29, 2011 - Employer Sues Employee in Mirror-Image FINRA Arbitration
June 28, 2011 - $2 Million RBC FINRA Employment Arbitrations: Did Everyone Lose?
June 28, 2011 - SunTrust and Bank of America ATM Scam Ends With Jail
June 27, 2011 - The Art of Fine Tuning FINRA Arbitration Damages: The $75 Million Claim
June 27, 2011 - Week In Review from Bill Singer
June 24, 2011 - Two For One Friday. Bill Singer's New "Street Legal" Column Online. The Old Real-Estate Flim Flam
June 24, 2011 - Bullcoming -- the Supreme Court Reverses a Drunk-Driving Case
June 24, 2011 - Bill Singer's New Registered Rep Magazine
June 23, 2011 - Feds Bust Up Tax Refund Fraud with Belarusian Phish Fry
June 23, 2011 - Operation Stolen Dreams Racks Up More Mortgage Fraud Guilty Pleas
June 23, 2011 - Individual Broker Wins FINRA Employment Arbitration Against Citigroup Global Markets
June 21, 2011 - JOB OFFER: Securities Litigation Counsel - VP/AGC
June 20, 2011 - Edward Jones Broker Wins Expungement in Settled FINRA Customer Arbitration
June 20, 2011 - Till Death Do Us Part: Did Citigroup / Smith Barney Fail Married Couple?
June 17, 2011 - Feds Say That Failed Stock Loans Required Capital Gains Payments
June 17, 2011 - Merrill Lynch Crushed In Promissory Note Case By Employee Seeking $13.2 in Damages
June 17, 2011 - Bill Singer Explores FBI Vault: Groucho Marx, the Monkees, Helen Keller, Lucy, Louie Louie, and UFOs
June 16, 2011 - Non-Profit FINRA Wants to Ring Up A Sale?
June 16, 2011 - A MUST READ!!! Bill Singer Explores the FBI's Online Vault.
June 16, 2011 - Whistleblower Uncovers Alleged Medicare Sleep Fraud
June 16, 2011 - FINRA Arbitrators Award $575,000 Punitive Damages to Defamed Broker
June 15, 2011 - Bill Singer Exposes Internet Scam With the Prayerful Assistance of Dear Detective Edward Alex
June 14, 2011 - Former Chase Broker Goes Toe to Toe in FINRA Expungement Victory
June 14, 2011 - US Supreme Court "Makes" a Point in Janus Case
June 13, 2011 - SEC Investor Bulletin: Reverse Merger -- a must read
June 13, 2011 - FINRA Arbitrators Award Morgan Stanley Smith Barney Brokers $4 Million Against Former Employees in Protocol Case
June 13, 2011 - eBay has a yacht or Rolls Royce for you -- just send me the money, online.
June 10, 2011 - FINRA Arbitration Panel Re-Writes Defamatory Form U5 of Terminated Chase Employee
June 10, 2011 - SEC Grants Reg D and Reg A Exemptions to UBS -- Apology accepted.
June 9, 2011 - Pabst -- the beer that made the SEC famous?
June 8, 2011 - UPDATE: How Don Chu Was Caught -- and now pleads guilty to two conspiracy counts
June 8, 2011 - Software Pirate Sells Counterfeit Quicken and Turbo Tax Programs Through eBay
June 8, 2011 - Alien Construction Found on Mars. Bill Singer Proposes Plan to End Recession
June 8, 2011 - It Ain't The Shady Guy Behind You At the ATM You Need To Worry About
June 7, 2011 - Another Madoff Defendant Pleads Out. Read Cooperation Agreement and Indictment.
June 7, 2011 - Parties Try To Break Each Other's Back in FINRA Arbitration
June 6, 2011 - Former Banc of America Broker Throws Kitchen Sink in FINRA Arbitration
June 3, 2011 - Losing the Battle of the Water Cooler: UBS's Promissory Note Arbitration Against Former Employee
June 3, 2011 - Unnamed UBS Brokers Demand Expungement in FINRA Arbitration
June 2, 2011 - US Airways Takes Off With $15 Million Auction Rate Securities Victory in FINRA Arbitration
June 2, 2011 - FINRA Arbitration Claimants Can't Deliver UPS Case Against Citigroup
June 2, 2011 - Bill Singer's Head To Explode from Cellphone Use, Says WHO
June 1, 2011 - Merrill Lynch Says Late Is Not Better Than Never
June 1, 2011 - Penson Faced Multi-Million Dollar Day-Trading Claim in FINRA Arbitration
June 1, 2011 - The NASDAQ Insider-Trading Case: Was Johnson's Computer Monitored?
May 28, 2011 - US Supreme Court's Controversial Decision: The Cop-Killer's Intent
May 28, 2011 - Feds Allege Bank Employee Ripped Off Elderly Customers -- and then the bank's vault
May 28, 2011 - FINRA Arbitration Win for LPL in Promissory Note and Rep Agreement Case
May 28, 2011 - Catch Up on BrokeAndBroker Over the Holiday
May 27, 2011 - The Intent of a Cop Killer: Supreme Court's Opinion
May 27, 2011 - UPDATE: Koval Sentenced in Insider Trading Case
May 26, 2011 - Your Memorial Day Reading from BrokeAndBroker
May 26, 2011 - Morgan Keegan's FINRA Arbitration Settled -- sez who?
May 26, 2011 - Claimant Throws Kitchen Sink at UBS -- But Gets Flushed Down the Drain
May 26, 2011 - Getting the Business from BizRadio
May 26, 2011 - A Matter of the Heart: Did FBI Agent Fall for Confidential Source?
May 26, 2011 - Wall Street Fraud: Hidden in the Shadows
May 26, 2011 - Merrill Lynch Arbitration Shows Unique Impact of Baby Boomers
May 24, 2011 - Monday Set-Up from BrokeAndBroker
May 23, 2011 - UPDATE: FINRA Runs Into Trouble. Forced to Take Down Its New Disciplinary Actions Online Database
May 20, 2011 - UPDATE: The Wells Fargo Broker Who Would’nt Give In to FINRA Bar
May 20, 2011 - On tap for Thursday at BrokeAndBroker.com
May 19, 2011 - BrokeAndBroker Network: The Wednesday action
May 18, 2011 - Estate Sues BD and Broker Over Lawyer's Designation of Ex-Wife as IRA Beneficiary
May 17, 2011 - RRBDlaw: the May FINRA enforcement updates (first round now online)
May 16, 2011 - Split FINRA Arbitration Panel Wrestles with Citigroup Arbitration Over Promissory Note
May 13, 2011 - Merrill Lynch Hoisted On Its Own FINRA Promissory Note Arbitration Petard
May 13, 2011 - Shady Shades: A True Life Crime Drama of Online Eyewear Shopping
May 13, 2011 - The Train Leaves the Station for One Tardy FINRA Customer Claim
May 13, 2011 - Wells Fargo Broker Never, Never, Never, Never Gave In to FINRA's Bar for Not Responding
May 12, 2011 - Operation Smoking Dragon: The FBI Saves the Day!
May 12, 2011 - FINRA Arbitrators Award Two Women Over $1 Million for Sexual Harassment
May 11, 2011 - Customer Claims Merrill Lynch Nickel-and-Dimed a Two-Bit BZ Order
May 10, 2011 - Bill Singer's Forbes "Street Sweeper" Blog -- New content online
May 9, 2011 - BrokeAndBroker: WEEK IN REVIEW
May 6, 2011 - Running On Empty: Are Federal Prosecutors and Wall Street’s Cops Out of Gas?
May 6, 2011 - Remember Jerry, Kramer and Brody and their videotaping antics? Sort of what this federal case is about.
May 6, 2011 - UBS Pays $160 Million Restitution in Antitrust Muni Settlement
May 6, 2011 - Madoff Feeder Case. UBS Pays Big Bucks to Settle Muni Case.
May 3, 2011 - Prominent Lawyer Jonathon Bristol Pleads Guilty in Kenneth Starr Ponzi Money-Laundering Case
May 2, 2011 - UBS's Costly (or somewhat) Runaround of Client
May 2, 2011 - Miscommunication and Misunderstanding in Edward Jones FINRA Arbitration
May 2, 2011 - WEEK IN REVIEW
April 29, 2011 - Wells Fargo Scrambles Clients' Nest Egg. Bill Singer on Marketplace (NPR)
April 29, 2011 - Wells Fargo, AIG, ATMs,Hedge Funds, Antitrust, LIBOR -- you name it, BrokeAndBroker's got it!
April 28, 2011 - Psst! Hey, you, wanna buy an ATM? Cheap. No questions asked.
April 28, 2011 - Paving the Road to Hell in Liberia With US Aid
April 28, 2011 - The Damnable Politics of Regulation
April 27, 2011 - The Antitrust Division's Dangerous Bluff with LIBOR
April 25, 2011 - Bratz End Barbie's Toying Around With $89 Million Verdict
April 25, 2011 - Piper Jaffray, Morgan Stanley, and an Employee Can't Seem to Settle Down
April 21, 2011 - A Battle Royal for Terminated Merrill Lynch Employees (and one wife)
April 21, 2011 - Michigan Ponzi Scammer DeMiro Pleads Guilty
April 20, 2011 - Mr. Magoo Goes to Washington
April 20, 2011 - Wells Fargo Crushed in FINRA Retention Award Arbitrations
April 19, 2011 - Microsoft, Pequot, Samberg, and the SEC’s Initial Decision on David Zilkha
April 18, 2011 - WEEK IN REVIEW
April 15, 2011 - WexTrust Case Ends In a Whimper of Pleas and Sentencings
April 14, 2011 - Ageless Defendant Named in Federal Criminal and CFTC Complaints
April 14, 2011 - Public Customers Take Citigroup to the MAT for $54 Million in FINRA Arbitration Damages
April 14, 2011 - The Father Proposed, the Daughter Disposed, Citigroup Cleared in FINRA Arbitration
April 12, 2011 - From Wall Street to Wasilla, Alaska: Returning military personnel face employment discrimination
April 12, 2011 - Insider Trading Gets Comic Book Treatment from SEC
April 11, 2011 - The Week in Review from BrokeAndBroker and RRBDLAW
April 9, 2011 - Did Inspirational Young Man's Hoops Dreams End With Bank of America Charity Scam?
April 8, 2011 - Public Customer Throws in the Towel Against Former Morgan Stanely Stockbroker in FINRA Arbitration.
April 5, 2011 - How Could An Anti-Terrorism Joint Task Force Press Release Be So Inane?
April 4, 2011 - The Supreme Court’s Smell Test: Buffett, Sokol, Becker and Zicam?
April 4, 2011 - BrokeAndBroker Exclusive: Secret Video of Wall Street Regulatory Conference
March 31, 2011 - UPDATE: Poteroba Sentenced in Insider Trading Criminal Case
March 30, 2011 - Fidelity and Morgan Stanley Smith Barney Settle FINRA Arbitration
March 28, 2011 - A Personal Plea from Bill Singer: Make a donation to this family
March 25, 2011 - Street Legal: FINRA's Decision on a Financial Advisors' Tweets Is a Lesson for All
March 24, 2011 - Former Goldman Sachs Programmer Sentenced in Federal Criminal Case
March 22, 2011 - The Far Side of Heaven: one immigrant family's brush with the Triangle Waist Fire
March 21, 2011 - Feds Bring Extortion Case Against School Security Guard Firm
March 18, 2011 - For those in need of cheering up today. A gift from Bill Singer and BrokeAndBroker.com
March 15, 2011 - FINRA Arbitration: Veni, Vidi — but a split Vici.
March 14, 2011 - Wells Fargo / Wachovia Loses Stunning Retention-Award Case Against Former Employee
March 11, 2011 - Morgan Keegan Hit With Punitive Damages in Madoff Feeder Case
March 10, 2011 - UBS Client Pleads Guilty in Tax Case
March 10, 2011 - Wachovia / Wells Fargo Loses Stunning Retention-Award Case Against Former Employee
March 9, 2011 - The Triangle Fire: Remembered A Century Later
March 9, 2011 - The Sins of the Father: SEC settles case with Securities Transfer Corporation and Halter
March 7, 2011 - Registered Rep Magazine's "Street Legal" Column Now Online. The saga of a bankrupt broker
March 7, 2011 - FINRA Arbitration Claimant Stipulates to Defaming Former Employee
March 4, 2011 - The Great ATM Caper
March 2, 2011 - RRBDlaw.com's monthly FINRA updates now online. Full analysis by Bill Singer
March 1, 2011 - Anti-Terrorism Certificates: Get 'em cheap
March 1, 2011 - Annuit Coeptis: Who possibly approves of this oil scam?
February 28, 2011 - International Identity Theft Gang Hits Financial Services Community
February 25, 2011 - UBS FINRA Expungement: Good news and bad news for unnamed stockbroker
February 23, 2011 - Claimant Sues RBC for $37 Million -- BUT FINRA Arbitration Panel Whacks Him for $1.8 Million
February 23, 2011 - “Are Your truly dead?” The IMF, Watson and Schrodinger’s Cat.
February 22, 2011 - Hughes v. Cantor Fitzgerald: Is there a winner?
February 18, 2011 - Milo Mindbender’s Half-Price Airline Vouchers?
February 17, 2011 - Senator Schumer Cries for the NYSE
February 16, 2011 - High Noon for 113 Former Lehman Employees
February 14, 2011 - Real Estate Auction Bid-Rigging Rings Busted
February 14, 2011 - Federal Task Force Boots Medicare Shoe-Insert Crime Ring
February 11, 2011 - New SEC Scandal: Can we solve this mess?
February 10, 2011 - Industrial Espionage at Dow Chemical
February 9, 2011 - Feds Move Forward With Stock Spam Cases
February 8, 2011 - Edward Jones Broker Wins Expungement
February 7, 2011 - Former Dresdner Kleinwort Employees Win Massive Arbitration Award
February 3, 2011 - A Countess (maybe), the Guggenheims (not likely), Oil, Vodka, Diamonds, Bank Notes, and Sex .
February 3, 2011 - An Open or Shut Forgivable Loan Case Vexes UBS
February 2, 2011 - A Mickey Mouse Caper Ends With Jail Sentence
January 31, 2011 - Wells Fargo Loses Defamatory U5 / Promissory Note Arbitration
January 31, 2011 - High Gear In America: No can do.
January 27, 2011 - Unnamed Respondent Broker Seeks Vindication in Settled Arbitration
January 27, 2011 - Thar Be Monsters -- FINRA Raiding Case Ends With Odd Ruling
January 26, 2011 - FBI Email Offers $11 Million “Monitory” Windfall
January 24, 2011 - Week in Review at BrokeAndBroker.com
January 22, 2011 - Operation Brass Tax: IRS Cheats Nailed
January 21, 2011 - Springsteen, the Stones, the Red Sox: Trouble On Wall Street
January 20, 2011 - Twice Victimized by Wall Street Fraud
January 19, 2011 - False Shuffle Trips Up Blackjack Players
January 18, 2011 - Week in Review at BrokeAndBroker and Forbes.com's "Street Sweeper"
January 14, 2011 - Did Talking Ban in Strip Clubs Leads to Tax Evasion?
January 13, 2011 - Former Chase Bank Officer Convicted in SAR Bribery Case
January 12, 2011 - Health Care to Make You Sick
January 11, 2011 - New Ponzi Scheme: Blame Bernie
January 10, 2011 - Second Criminal Defendant Pleads Out in UBS Insider Trading Case
January 8, 2011 - FINRA Arbitrators Hit Securities America with Punitive Damages in Medical Capital Notes Case
January 5, 2011 - UBS Gets Shellacked in Breach of Contract Case
January 3, 2011 - Invesco Arbitrates Termination of (Non-?) Employee
January 3, 2011 - ARS Gratia Artis? Brokerage Wins Auction Rate Securities Arbitration
January 3, 2011 - New Year's Reading from BrokeAndBroker.com and RRBDlaw.com
December 31, 2010 - Yet another expert consultant named in federal criminal inside info case
December 29, 2010 - Did you hear about the hedge fund that dissolved in Malta?
December 28, 2010 - Morgan Stanley's Nervous 401k Client
December 28, 2010 - UBS Banker Poteroba Pleads Guilty
December 27, 2010 - Compassion, Sacrifice and Endurance -- a holiday message from Bill Singer
December 23, 2010 - Compassion, Sacrifice and Endurance -- a holiday message from Bill Singer
December 21, 2010 - OshKosh! SECGosh!! Carter's and Kohl's Relationship Falls Under Scrutiny
December 21, 2010 - Forbes Street Sweeper: Here's What You've Been Missing
December 16, 2010 - Wachovia Whacks Former Broker in Promissory Note Case
December 16, 2010 - FINRA Arbitrations: The Audacity of Hope?
December 15, 2010 - Wells Fargo Gets Stuffed at the Goal Line by Former Employee in Promissory Note Arbitration
December 14, 2010 - Goldman Sachs Programmer Guilty. Lawyer Sues SEC. Insider Trading Cases Analyzed
December 13, 2010 - Lawyer Steven Altman Sues SEC To Enjoin Its Permanent Bar on His Appearance/Practice Before SEC
December 9, 2010 - BrokeAndBroker.com: In Depth Analysis by Bill Singer of SEC's Insider Trading Case Involving SQNM and EXAS shares/options
December 9, 2010 - Why Bother to Include the Term "Bid Rigging" in a Department of Justice Headline?
December 8, 2010 - A Not-so Opulent Hedge Fund
December 7, 2010 - Operation Broken Trust -- or should that be Broken Truss?
December 6, 2010 - UBS Loses Lehman Structured Notes Arbitration.
December 5, 2010 - The Week in Review: Bizarre "Let It Be" Video, "Street Sweeper" and BrokeAndBroker Blog
December 3, 2010 - Online Hijacking Defendants Agree to Pay $1.33 Million to Settle SEC Market Manipulation Case
December 3, 2010 - Bill Singer's Street Legal Column (Registered Rep Magazine) and Street Sweeper Column (Forbes) Now Online
December 2, 2010 - A Snarky Commentary From Bill Singer About an SEC Ponzi Case and the Politics of Regulation
December 2, 2010 - Former J.P. Morgan Employee Pleads Guilty for Role in Muni Bonds Bid-rigging and Fraud Conspiracies
December 1, 2010 - A Not-so Mini E-Mini Commodities Fraud Results in Charges and Arrest
December 1, 2010 - Feds Seize Grinch's Websites -- Christmas Saved!
November 29, 2010 - The FBI Issues Holiday Warning About Smishing, Vishing, and Other Scams by Cyber-Criminals
November 29, 2010 - Bill Singer's First Annual Thanksgiving Holiday Fluff Piece
November 26, 2010 - The Bernie Madoff of Colombia Pleads Guilty to Money Laundering. Built Pre-Paid Debit Card Empire at DMG Group.
November 24, 2010 - Bill Singer on NPR's Marketplace. Read Huffington Post and Forbes Columns.
November 23, 2010 - A Closed Branch Shuts Door On UBS's Claim for EFL / Promissory Note Repayment
November 23, 2010 - Investacorp and Ladenburg Thalmann Named in Multi-Million FINRA Employment Dispute
November 22, 2010 - Lehman Seeks to Collect Unpaid Loan Balances -- And Its Former Employees Are Furious
November 19, 2010 - Two More Madoff Employees Charged. TV/Radio Pastor Sentenced
November 18, 2010 - SEC Charges New York Firms and Chief Compliance Officer for Inadequate Procedures to Protect Nonpublic Information
November 17, 2010 - Unnamed FINRA Arbitration Respondent Wins Expungement -- What??
November 17, 2010 - A Marginal FINRA Arbitration Decision: TD Ameritrade Sued for Margin Sellout . . . I think
November 16, 2010 - How Did I Get Here? Uninvolved But Still Named As Respondent in Customer Complaint
November 15, 2010 - Did You Hear the One About the Rabbi, the Inmate, The Hedge Fund, and the FBI?
November 12, 2010 - SEC Takes Rare Step and Bars Securities Lawyer
November 11, 2010 - New Registered Rep. Magazine "Street Legal" Column by Bill Singer: Counterclaims
November 10, 2010 - Customer Loses FINRA Arbitration Over VALIC IncomeLOCK Annuity Option
November 10, 2010 - Meet the New VXX, Same as the Old VXX
November 9, 2010 - Forbes "Street Sweeper" Column Now Online: The World Bank / Federal Reserve Advance Fee Scam
November 9, 2010 - Ya Win Some, Ya Lose Some: Customers Sue Brokers Over Tax Bills.
November 8, 2010 - Why Did He File The Case? vs. Why Didn't He File His Case Sooner?
November 5, 2010 - The Stockbroker and The Dead Baby's Stolen Identity
November 4, 2010 - Former Employee Wins Over $5 Million Against Sterne, Agee & Leach.
November 3, 2010 - Bill Singer's "Street Sweeper" Column Returns to Forbes.com NOW ONLINE
November 3, 2010 - Manicurist Hit With IRS Corruption Charges -- Know What I'm Sayin'?
November 2, 2010 - Did You Hear About The FINRA Arbitration Claimant Seeking Over $22 Million in Damages?
November 1, 2010 - Remembrance of Things Past by Bill Singer of BrokeAndBroker.com
October 27, 2010 - Not-so Friendly Friends on Social Media
October 27, 2010 - Schwab Plays With Fire and Gets Burned in Intra-industry Arbitration
October 26, 2010 - Registered Rep Magazine
October 25, 2010 - Bartleby the Scrivener Sues Banc of America Investment Services (an esoteric literary reference!)
October 24, 2010 - Registered Rep Magazine's
October 22, 2010 - Bill Singer's Analysis of New FINRA Cases Now Online
October 22, 2010 - ATM Scam Results in Guilty Plea
October 21, 2010 - Whistleblower Wins FINRA Arbitration
October 20, 2010 - Take It Or Leave It -- FINRA Arbitrator Calls Wells Fargo's Conduct Unconscionable.
October 15, 2010 - What the FACAAP Is Going On Here?
October 14, 2010 - Cowen's Faithless Servant -- FINRA Arbitration Panel Says Gimme a Break
October 12, 2010 - Don't Ask. Don't Tell. A Taxing Case
October 12, 2010 - A Mother-in-Law, A Daughter-In-Law, and It Goes Downhill From There
October 12, 2010 - Wachovia Wins Promissory Note / Bonus Retention Arbitration in Market-Timing Case
October 8, 2010 - Major Anthony Nelson Rubs Lamp and Gets His Wish: Over $11 Million Arbitration Victory!
October 7, 2010 - Wife Defrauded By Husband's Forgeries Sues Citigroup
October 7, 2010 - FINRA Arbitration Panel Rejects Duty to Advise on Tax Consequences by Broker
October 6, 2010 - Multi-Million Dollar FINRA Arbitration Award For Selling Away / Outside Business Activities
October 5, 2010 - The Federal Reserve Note Investment Plan: Invest Today!
October 4, 2010 - BrokeAndBroker.com: Executive Summary of Flash Crash Report Online
October 1, 2010 - Rajaratnam Wins Major 2nd Circuit Appeal.
September 29, 2010 - Frequent Flyers, Potatoes, and Macy's -- One Defendant Settles with the SEC
September 29, 2010 - Churning: What it is and how it should be monitored
September 28, 2010 - Bulgarian Indicted for ATM Skimming Fraud
September 27, 2010 - FINRA Arbitration Panel Awards $1 Compensatory Damage Against Former Employee
September 27, 2010 - FINRA Panel Imposes Punitive Damages - Another Lost Generation for Wall Street Reform.
September 22, 2010 - Caught in the Spider's Web -- online financial identity theft
September 21, 2010 - Jesup & Lamont Loses FINRA Arbitration Over Defamation -- What Goes Round, Comes Round?
September 21, 2010 - Claimant Wins Expungement of Defamatory Disclosures at FINRA Arbitration
September 20, 2010 - CNBC's Man vs Machine: Inside the complex world of computer driven trading
September 14, 2010 - Dead Man Talking
September 14, 2010 - Yo, Congress, Keep On Truckin' -- Can you dig it?
September 13, 2010 - Starr & Co.'s Kenneth Starr Pleads Guilty to Ponzi Fraud
September 13, 2010 - Registered Rep. Magazine /
September 13, 2010 - $10.7 Million FINRA Arbitration Award Against Rodman & Renshaw Former Employee.
September 2, 2010 - 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 - A Whopper of A Story (or should I say a Big Mac?)
August 13, 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 - 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 - 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 - FINRA Arbitration Panel Hits Losing Customer Claimants With Sanctions
July 14, 2010 - Bill Singer's New Huffington Post Column: Moffat's Sex and Nietzsche's Memory
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 - 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 - 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 - 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 - NYSE-Traded Chinese Company CYD Settles Accounting Case with SEC
June 9, 2010 - Da Big Kahuna Indicted For Securities Fraud
June 3, 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 - IBM's Acquisition. Wachovia's Widow Loss.
May 24, 2010 - Time for a FINRA Tea Party
May 12, 2010 - Giving FINRA the Silent Treatment -- And Getting Barred for It.
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 - Of Hijacked Brokerage Accounts and Not-so Free Lunches
March 22, 2010 - The SEC's Dollar-Short-and-Day-Late Reforms
January 13, 2010