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An irreverent Wall Street Blog
by Bill Singer

Topic List for Embezzlement (6 results)

  • Does Your Brokerage Contract Bite?
    October 9, 2019
  • Yabba Dabba Doo In Unbeknowst FINRA Embezzlement AWC
    December 2, 2015
  • US Attorney and SEC Charge Investment Advisor In $20 Million Fraud
    April 17, 2015
  • Bank Manager Targeted Elderly And Senile
    May 14, 2014
  • Barred Stockbroker Charged With Embezzling PTA Funds
    July 8, 2013
  • Thou Shalt Not Steal From Nuns
    October 29, 2012

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  • BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
    March 6, 2021

    High Standards In Low Places on Wall Street (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5724/finra-awc-expenses/Low standards in high place... Read On

  • High Standards In Low Places on Wall Street
    March 5, 2021

    Low standards in high places. High standards in low places. Sort of sounds like lyrics from a country song, no? In today's blog, publisher Bill Singer... Read On

  • As Time Goes By At FINRA And TradeStation
    March 4, 2021

    In recent weeks, the press has been awash with stories about payment for order flow. You've seen it pop up in all its sordid glory via revelations abo... Read On

  • Vanguard Compliance Manager Submits Altered and Fabricated Documents to FINRA
    March 3, 2021

    Whatever you do, don't lie to FINRA. I can't even begin to recount the number of times that I have given that admonition to a client. You wouldn't thi... Read On

  • FINRA Censures and Fines Securities America Over Outsourced Onboarding
    March 2, 2021

    BrokeAndBroker.com Blog publisher, Bill Singer, is no fan of Wall Street's version of self regulation, as spearheaded by the Financial Industry Regula... Read On

  • The Saga of FINRA Versus Kimberly Springsteen-Abbott
    March 1, 2021

    The Saga of FINRA Versus Kimberly Springsteen-Abbott(2015 - 2021 -- and maybe not done yet)FINRA placed Kimberly Springsteen-Abbott squarely in its re... Read On

  • BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
    February 27, 2021

    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 (B... 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

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