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An irreverent Wall Street Blog
by Bill Singer

Topic List for Fifth Amendment (5 results)

  • BREAKING NEWS: Second Circuit Overturns Rabobank LIBOR Convictions
    July 19, 2017
  • IRS Says FINRA Schrodinger Cat Has Three Lives
    June 16, 2016
  • Former Lek Employee Suspended For Taking The Fifth At FINRA
    March 16, 2015
  • Supreme Court Says Silence Is Not Golden With Fifth Amendment
    June 17, 2013
  • Taking the Fifth At FINRA -- Not What You Might Think
    August 2, 2011

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Previous Entries

  • 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

  • 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

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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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