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An irreverent Wall Street Blog
by Bill Singer

Topic List for Dbsi (2 results)

  • SEC Settlement Shows Shameful State of Wall Street Research
    February 18, 2016
  • FINRA Arbitrators Award Over $9 Million In CapWest Private Placement Suit
    January 19, 2012

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Previous Entries

  • Federal Circuit Court Says Head Scratchin' Act Not Proof of Securities Fraud Scienter
    April 12, 2021

    If you file a securities fraud claim under Section 10(b) of the Securities Exchange Act of 1934, a basic element of your proof must be to show th... Read On

  • BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
    April 10, 2021

    Customer Complaints and Away Settlements -- Matters of Interpretation? (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5788/finra-complaint-set... Read On

  • Customer Complaints and Away Settlements -- Matters of Interpretation?
    April 9, 2021

    A lot of what passes for misconduct on Wall Street is a matter of interpretation. You say that you did or didn't do something. Your firm's compliance ... Read On

  • FINRA Gives Credit to Credit Suisse for Not Having A Relevant Disciplinary History
    April 8, 2021

    Yet again, I say. Yet again. Wall Street's lackluster regulatory scheme fails to proactively detect an oncoming tsunami, and the markets get flooded. ... Read On

  • JP Morgan Customer Seems To Have Accused Stockbroker of Not Exercising Unauthorized Discretion
    April 7, 2021

    Over a decade ago, when the stock markets were cratering in the wake of the Great Recession, investors saw their pre-2009 gains vanish. Lots of black ... Read On

  • FINRA Fines and Suspends Former Barclays Rep Over Reimbursed Expenses
    April 6, 2021

    At its best, remorse demonstrates a pang of conscience. At its worst, it may arise only in anticipation that you are about to get caught. Contrition a... 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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