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An irreverent Wall Street Blog
by Bill Singer

Topic List for Confirmation (7 results)

  • UPDATE: FINRA Says Brokerage Fee An Undisclosed Commission
    August 12, 2020
  • Texas Two-Step: 2 FINRA Arbitrations, 2 Texas State Courts, and 2 Texas Federal Courts
    October 16, 2019
  • GUEST BLOG: Bitwise and Fund-Foolish by Aegis Frumento Esq
    March 28, 2019
  • Is FINRA Sleepwalking Through Member Firm Examinations?
    June 20, 2018
  • Colorado Court Shuts Down FINRA Over Expungement Confirmation
    May 16, 2018
  • FINRA Says Brokerage Fee An Undisclosed Commission
    May 15, 2014
  • Arbitrators Award Damages For Misleading and Incomprehensible Trade Confirmation
    April 5, 2012

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Previous Entries

  • GUEST BLOG: COVID-19's Impact on Financial Advisors / How the Pandemic is Changing the Way Advisors Work by Michael King of Michael King Associates
    February 26, 2021

    If there's one thing that's certain about the COVID-19 pandemic, it's that it has changed the way we work and interact with one another. From virtual ... Read On

  • Finders Keepers Losers Weepers Ends With FINRA Bar
    February 25, 2021

    Someone lost about $100 from a Bank of America drive-up ATM. Someone found it. That first finder wasn't a keeper. That first finder gave the $100 to a... Read On

  • Securities Industry Commentator by Bill Singer Esq
    February 24, 2021

    We got a really, really busy day of news over at our companion publication the "Securities Industry Commentator." The content is free and fabulous. Wh... Read On

  • Rowing on the SEC's Whistleblower River of Denial
    February 23, 2021

    Recently, the SEC issued: "SEC Awards Almost $3 Million Total in Separate Whistleblower Awards" (SEC Release / February 19, 2021) https://www.sec... Read On

  • Not Getting Away With What You Are Trying To Get Away With On Wall Street
    February 22, 2021

    When I first starting working in-house at Smith Barney, Harris Upham & Company in 1982, folks in the biz thought that the industry's regulators we... Read On

  • BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
    February 20, 2021

    GUEST BLOG [In]Securities: Instant Karma By Aegis Frumento Esq(BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5702/insecurities-aegis-frumento-... Read On

  • GUEST BLOG [In]Securities: Instant Karma By Aegis Frumento Esq
    February 19, 2021

    [In]Securities a Guest Blog byAegis J. Frumento, Partner, Stern Tannenbaum & BellInstant KarmaHere's a question I haven't heard in decades:&n... Read On

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About Bill Singer

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

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

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

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

  • Email: rrbdlawyer@gmail.com

  • Phone:917-520-2836

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