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An irreverent Wall Street Blog
by Bill Singer

Topic List for Johnson (5 results)

  • SEC Drops Another Insider Trading Shoe In Carter's Investigation
    November 15, 2013
  • Former Schwab Employee Lost Defamation Arbitration But Employer Gets Slammed By Panel
    November 17, 2011
  • SEC Settles Infomercial Case Against BetterTrades
    October 20, 2011
  • The NASDAQ Insider-Trading Case: Was Johnson's Computer Monitored?
    May 28, 2011
  • FINRA and Lt. Col. Johnson Matter Appears Resolved!
    May 12, 2008

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Previous Entries

  • FINRA Arbitrators Dissolve RIA / BD Lacking Operating Agreement
    April 24, 2018

    I often urge clients contemplating a new business to first consider what I call the "Dreaded Ds," which are Death, Disability, Disqualification a... Read On

  • FINRA Death Cab for an Un-Fare Email Cutie
    April 23, 2018

    Much of life is unfair. Sometimes life can also be un-fare -- as when you stiff the cab driver. Then again, sometimes those drivers are over-charging ... Read On

  • BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
    April 21, 2018

    FINRA Bogarts the Weed In Medical Marijuana SettlementApril 20, 2018Another day and another idiotic Outside Business Activities Rule regulat... Read On

  • FINRA Bogarts the Weed In Medical Marijuana Settlement
    April 20, 2018

    Another day and another idiotic Outside Business Activities Rule regulatory settlement between the Financial Industry Regulatory Authority a... Read On

  • 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

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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 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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