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An irreverent Wall Street Blog
by Bill Singer

Topic List for Correspondence (3 results)

  • DC Circuit Court Sustains SEC Orders Against Thaddeus North
    October 27, 2020
  • Chief Compliance Officer Fined and Suspended For Failed Email Review
    March 4, 2016
  • Failed Email Review Offers Example Of Hidden Compliance Costs
    June 5, 2015

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Previous Entries

  • BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
    January 23, 2021

    GUEST BLOG [In]Securities: A Worried Song By Aegis Frumento Esq(BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5655/insecurities-aegis-frumento... Read On

  • GUEST BLOG [In]Securities: A Worried Song By Aegis Frumento Esq
    January 22, 2021

    [In]Securities a Guest Blog byAegis J. Frumento, Partner, Stern Tannenbaum & BellA Worried SongMany years ago, I took a train from Grand Cen... Read On

  • Negative Consent Morgan Stanley CARE Arbitration Program Sustained by Court
    January 21, 2021

    As a member organization, the Financial Industry Regulatory Authority ("FINRA") only affords votes to its member firms. Indeed, FINRA is a "self" regu... Read On

  • A Hard Rain Falls On A Shattered Nation
    January 20, 2021

    Despite the hopes and wishes of many good people, corruption is the ever-unsated addiction of big government. To govern is to engage in an endless str... Read On

  • FINRA Fines and Suspends Rep for Taking or Not Giving A Crap
    January 19, 2021

    Why do we say that we "take" a crap (or an even more impolite word) when we go to the bathroom, but we say that we don't "give" a crap when we don't c... 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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