An irreverent Wall Street Blog
by Bill Singer
by Bill Singer
Topic List for Brokeandbroker.com (272 results)
- New Securities Industry Regulatory And Litigation Analysis by Bill Singer
February 27, 2013 - Are Human Beings Obsolete On HFT Wall Street?
February 7, 2013 - Street Sweeper at Forbes.com. See what everyone is talking about!
October 18, 2012 - SEC Inspector Javert Earns $1.8 Million Interest On $78,000 Judgment
October 15, 2012 - Commodities CEO Gets 30 Months In Prison In Mark To Market Scheme
April 26, 2012 - The Desperate Stockbroker and Her Father's Korean War Medals
January 10, 2012 - Wells Fargo Hit With Punitive Damages in FINRA U5 Defamation Case
December 15, 2011 - UPDATE:Portrait of a Swindler as Young Art Felon
November 24, 2011 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
August 30, 2011 - EMPLOYMENT TUESDAY at BrokeAndBroker.com
August 2, 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 - 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 - 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 - 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 - 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 - Selling Away. Failure to Supervise. Punitive Damages. Discovery Sanctions. All in one FINRA Arbitration
June 29, 2011 - Two For One Friday. Bill Singer's New "Street Legal" Column Online. The Old Real-Estate Flim Flam
June 24, 2011 - Bill Singer's New Registered Rep Magazine
June 23, 2011 - BrokeAndBroker Network: The Wednesday action
May 18, 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 - The Train Leaves the Station for One Tardy FINRA Customer Claim
May 13, 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 - The Damnable Politics of Regulation
April 27, 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 - 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 - Senator Schumer Cries for the NYSE
February 16, 2011 - High Noon for 113 Former Lehman Employees
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 - 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 - 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 - 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 - 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 - 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 - 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 - 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 - 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 - 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 - One Egregious, Punitive FINRA Arbitration and One Inexplicable FINRA Arbitration Award.
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 - 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