Contact Bill Singer:  917-520-2836 rrbdlawyer@gmail.com
Broke And Broker Network
  • Home
  • Archive
  • Bill Singer's Resume
  • Securities Industry Commentator
  • Contact
An irreverent Wall Street Blog
by Bill Singer

Topic List for Consent Order (4 results)

  • BREAKING NEWS: Corzine Ordered to Pay $5 Million in MF Global Case
    January 5, 2017
  • UPDATE: Pro Se Respondent Battles SEC to Standstill
    February 10, 2016
  • Pro Se Respondent Battles SEC Bar To Standstill
    January 20, 2016
  • An IRA, A Husband's Death, A Beneficiary Wife, And Two Regulators
    February 9, 2015

Search BrokeAndBroker

Previous Entries

  • Pyrrhus, Battle of Asculum, a Stockbroker, FINRA, and a Pyrrhic Expungement Victory
    April 19, 2018

    Not being particularly fond of the times that I live in, I am a student of Ancient Greek and Ancient Roman history. In presenting today's BrokeAndBrok... Read On

  • Of Bullet Fees and In House Counsel Fees In FINRA Employment Arbitration
    April 18, 2018

    I'm not sure whether it's fact or fiction, but I've heard that in Iran and China there's a "bullet fee," which is a bill sent by the government to the... Read On

  • My Way Rules In Pro Se Expungement Case Against J.P. Morgan
    April 17, 2018

    Today's BrokeAndBroker.com Blog considers the lawsuit of a registered rep who handled his own expungement arbitration against his former employer J.P.... Read On

  • Rashomon Plays Out In Merrill Lynch Discretionary Case
    April 16, 2018

    A recent FINRA regulatory settlement presents us with the puzzling scenario of three versions of the same event as told by the stockbroker, his employ... Read On

  • BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
    April 14, 2018

    FINRA Books Outside Business Activity Fine And Suspension (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/3920/finra-oba-/ April 13, 2018T... Read On

  • FINRA Books Outside Business Activity Fine and Suspension
    April 13, 2018

    Today's BrokeAndBroker.com Blog examines the curious case of a stockbroker acting as an agent for the collector of rare books. Sort of sounds like a m... Read On

  • Drinking, Driving, Felonies, and a Wall Street Regulatory Head-On Collision
    April 12, 2018

    Drinking and driving is never a good idea. In today's BrokeAndBroker.com Blog, we cover yet another instance of the impact of drinking, driving, felon... Read On

Tag Cloud

Bill Singer BrokeAndBroker FINRA Arbitration AWC SEC BrokeAndBroker.com Expungement Employment Street Sweeper Jobs Bill SInger Wells Fargo Fraud OBA Promissory Note U5 Email U4 Wire Fraud Forbes FBI UBS Merrill Lynch Elderly EFL Morgan Stanley Statutory Disqualification Citigroup ALJ Defamation PST Borrowing Ponzi Rule 3270 Outside Business Activity Suitability OIP Whistleblower BrokerCheck Wachovia IRS Supervision Form U4 Felony Bank Wrongful Termination CRD Willful Mail Fraud DOJ NAC SDNY Supreme Court Insider Trading Employment Tuesday BrokerAndBroker Form U5 Expenses Conversion Raymond James Madoff Discretion Bankruptcy Punitive Damages Rule 3040 Pro Se Checks Credit Card CCO Ameriprise Forgery RIA Dodd Frank Rule 2010 WSP OHO Rule 3240 Real Estate Indictment Outside Business Activities Private Securities Transaction IRA JP Morgan Discovery Willfulness Commissions LPL Exam Settlement Tax NASD Street Legal Rule 1122 Facebook Power of Attorney Wife NYSE Estate ATM Rule 8210 Tax Lien Impersonation Bar Guest Blog Business Expenses 2Cir Husband Wall Street Case In Point Corrective Action Statement Antitrust Bank of America Wire Rule 2080 Schapiro Test Small Firm Edward Jones Stephen Kohn SRO Employee Forgivable Loan Offer of Settlement Tax Liens Mortgage Appeal Trust Margin Schwab Annuities Goldman Sachs ARS Conspiracy HFT Trustee Rule 2510 Misdemeanor Promissory Notes Spouse Securities Fraud NASAA ETF Rule 3280 Cease And Desist Initial Decision Signatures Loan NSF Chase Complaint Beneficiary Injunction Flash Crash Fidelity T&P Due Diligence Money Laundering Huffington Post Away Account Barclays LOA NASDAQ Signature Lien VA Annuity Registered Rep Magazine DCCir Hacker Credit Cards Gallagher BrokeAndBroker Remand Liens POA Bharara RRBDLAW.com Variable Annuity MSSB Unfair Competition Lehman Brothers Continuing Education CFTC Bonus RBC Malware E*Trade FINRA Arbitration Mandatory Arbitration Letter of Authorization email PCAOB Annual Compliance Questionnaire Eligibility Rule Deutsche Bank Solicitation Identity Theft employment OTR Forex Unauthorized Discretion Spouses Fiduciary Website JPMorgan Social Media Away Accounts Stockbrokers LIBOR jobs Scottrade Hacking Insurance 2nd Circuit Second Circuit Prison Rule 3050 Undisclosed Settlement Stay Registration Wey Failure to Supervise Wedbush Rule 12206 arbitration Rule 3010 Net Capital Newman Private Placement RRBDlaw.com Telephone Trading Platform IC3 FINOP BOP Customer Complaint Audit Compliance Bureau of Prisons Broker Protocol Judgments Private Securities Transactions Solicited Great Recession Time And Price Options FOREX Brummer Will Rule 4511 Internet Reg SP Guest Blogger 10Cir TRO Burris Knight Confidential Information Willfully Apple Auction Rate Securities OWB Rule 12805 RMBS Spoofing DOL NYAG BrokeAndBroker Bill Singer Self Regulation Unauthorized Trading China Rakoff Rule 2111 Rule 4530 Piwowar Hedge Fund Unsolicited Dissent ADA Divorce Retirement Explained Decision Plea brokeandbroker Sanctions Obstruction of Justice Examination Protocol BrokeandBroker MetLife Cheating Sanction Guidelines Board Due Process Motion to Dismiss Disgorgement Vacatur Commission Executor Check Kiting Regulation SP MF Global Customer Bandimere Confidential Phishing Class Action Gold PN Disclosure REIT Postponement Passcode Raiding Article V Unsuitability Botkin Medicare EIA Variable Annuities Wire Transfer Crowdfunding Discrimination OSHA PNC Sexist Charge Reg D Joshua Brown Shah Gilani Arbitraiton Wine Lehman Debit Card Hurry SAC Affiliate Retaliation IPO Aleynikov Banc of America Woody Allen High Frequency Trading Affinity Fraud Morgan Keegan Ketchum Khuzami Teleconference Unjust Enrichment Mutual Fund Marketplace Reg S-P Oppenheimer CE 401k Finder\'s Fee Embezzlement Charity Charles Schwab Testimony Personal Expenses Rule 12200 Aguilar Smith Barney Stanford Hearing Poteroba Sexism Whistleblowing Customer Information Waiver Series 7 Sales Assistant Employment Agreement Disability Vietnam Eligibility McDuff Rule 2081 Marines Stifel Confirm Ride the Thunder Guitron Jurisdiction Statement of Corrective Action Statute of Limitations Side Bar CEO Pennystocks Bear Stearns Commodities Fraud Online Unregistered USERRA Government Accountability Project NPR Yesenia Guitron Marine Corps JOBS Act Private Placements Parking HSBC Widow Failure To Supervise Termination Bid Rigging Chief Compliance Officer Vault Corzine Appointments Clause Lucia Day Trading Check ACQ Casino Corruption Deceased 9Cir MC-400 Conflict Whitman Information Morgan Stanely Reimbursement Pennystock Kon OIG WSPs ING Fees Lawyer Indemnification Self Regulatory Organization Penson Bloomberg Morgan Stanley Smith Barney Testing Bank Fraud Rule 3030 Laptop Deferred Compensation White 6th Circuit Rosenthal Recruiting bill singer Timban Department of Justice Consent Order FOCUS Chiasson 11th Circuit Research Unauthorized Practice of Law SP Moon TIC CGMI expungement Judgment Inmate Backstage Wall Street Elles FNMA Medical Condition Negligence Guest Bloggers OWWP OCIE Red Flags Dakota Securities Zipper Suspension Rule 13805 Written Supervisory Procedures Severance Layering Scholander Verbal Discretion Do Not Call 40 Act Emails TD Ameritrade Investor Alert Tax Fraud Equity Indexed Annuities Argentina TheBlot RRBDlaw Compensation Broke And Broker FINRA AWC David Sobel Bonds TSSB CNBC WaMu 401(k) Small Firm Governor Female Imposter Administrative Remedies Lincoln Financial Circuit Court Margin Call Scottsdale Rule 2150 FCI Beaumont Accounting Non-Solicitation IAR Restaurant AML Reverse Life Insurance Taft Correctional Institution Thain Christian Stanley Commodities Outside Accounts FCI Elder Abuse Third Party Vendor Arrest Chase Investment Services Form ADV Client Information Frumento 4Cir BATS Rule 1031 Rule 9216 Rule 2370 Stockbroker Investment Adviser Securities Industry Commentator Probate Schneiderman BrokerAndBroker.com Stifel Nicolaus Sexual Harassment Rule 3110 Dementia Moore Fifth Amendment Netschi Hospital Credit Suisse Fowler CPA Outside Account Counterclaim Trade Secrets Tortious Interference Leveraged ETF Dell Johnny Burris Loans Stipulated Award Florida Inside Information Falsification false statements Regulation S-P Fourth Amendment Broy Boyland Kent Sharing Agreement Death House Financial Services Aegis Frumento Books and Records Exhaustion Doctrine Obstruction Enforcement Motion To Dismiss Constructive Discharge Cherry Picking Mary Jo White Pacifico S&P Non-Prosecution Agreement Varney Wages JPM Pension Galleon Martin FINRA Board Apartment Tennis Court Retired Woman With Cane Disciplinary History US Airways Credit Repair Undercover BitTorrent Escrow Impersonator Cellphone Practice Sale Johnson McCartney Springsteen Withdrawals Sex SunTrust Turbeville Password Goble Congress Resignation RRBDLAW Money Market Scam Reverse Merger Board of Governors Bank Guarantee Obamacare Permanent Bar Wanger Nasdaq 8210 Motion to Vacate Google Star Wars Lee Martoma Stop Loss SEC Rules of Practice Hugh Hewitt Evidence Personal Information Costa Rica PAQ Over Concentration Theft Elder Fraud Mutual Funds FINRA Small Firm FTC Trading Currency AWC. FINRA Silver Laser BBVA Compliance Questionnaire Trainee Fee Public Interest Brokeandbroker.com Advisor Placement Group Data Mattera 9th Circuit Attorneys\' Fees Anderson NML Merrill Inability to Pay Kennedy Walter LLC Bill Singer BrokeAndBroker Blank Forms Compromise Subpoena iPhone Short Sale Undertaking Attorneys Fees Office of Special Counsel Cybercrime Fine VIX VXX Customers Branch Manager Tippee Supervisor Eric Stein 1099 Naskovets Churning Rules of Practice Membership Continuance Texas State Securities Board BrokeandBroker.com Mary Schapiro Leveraged ETFs AIG Statutory Disqualification Committee Sexual Discrimination SIPC Spoliation Skimming Tipper Expense Lek Rule 420 FMLA Oilpro DWI Federal Reserve Mother Selling Away Fines Liquidation Rule 13200 Subway God Privilege Collateral Settling Away Countrywide Joint Account Tran Fiero Motion Rule 9552 Electronic Communications Euro Koval Prime Bank FCPA Quasi Governmental Solomon Lawyers Relevant Wells Fargo Advisors BrokeAndBroke Salman Excel Non Solicitation EDNY In House Counsel Fiduciary Duty Nationwide Securities and Exchange Commission CRS Counterfeit Trader Lewis Carroll Promoter Customer Files Summary Judgment Kiting Municipal Advisor Taxes Reason for Termination Initials FDA 1Cir PIABA Concentration Reform Gabelli Diabetes BD Dow Rule 2210 Fee Schumer Manifest Disregard Collateral Bar Books And Records Commissioner Stein Spam AXA Checking Standing Proctor Retroactive Bar CDO Retroactive Flash Drive Test Center Immunity signature Bartko David Lerner Altered Records Murray Hertz Outside Counsel Kenneth Starr Criminal Stock Promotion ACH GAP Preet Bharara Reuters Pruco NRSRO Bribe Jon Corzine Oral Discretion NYG Capital FNI Media Payroll TOD Executrix Disparate Treatment


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 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

Media And Resources

  • Bill Singer's Resume
  • Press Room
  • RRBDLaw.com
  • BrokeAndBroker Blog
  • Securities Industry Commentator

Subscribe

Please enter your email address below if you wish to subscribe to Bill Singer's mailing list.

RRBDLAW.com & Securities Industry Commentator™ © Copyright 1998-2018 Bill Singer. Third party Trademarks, graphics, and/or content are the property of their respective owners.
Advertise | Privacy Statement | Legal Notice