An irreverent Wall Street Blog
by Bill Singer
by Bill Singer
Topic List for Oba (30 results)
- Stockbroker Fined And Suspended For Managing Clients' Households
May 7, 2013 - Commodities Biz Turns Into Outside Business Nightmare For FINRA Broker
March 19, 2013 - Supreme Court Says K-9 Dog's Sniff Was Up To Snuff
February 19, 2013 - Avocado Consulting Makes Guacamole Out Of Stockbroker's Career
February 13, 2013 - Stockbroker Charged With Outside Business Activity For 401k Consulting
January 30, 2013 - FULL TEXT Press Release on MF Global and Corzine by House Financial Services Oversight And Investigations Subcommittee
November 15, 2012 - Research Reports Unravel Into Stockbroker's Outside Business Activity
October 10, 2012 - Stockbroker Fined And Suspended For Service As Executor And Having Outside Accounts
September 17, 2012 - Equity Indexed Annuities Sales Set Up FINRA Outside Business Activity Case
September 10, 2012 - Obama Hope And Progress Photo Ends With Artist's Criminal Plea
September 7, 2012 - Stockbroker's Outside Business Activity Becomes FINRA Private Securities Transaction
August 16, 2012 - Replacement Insurance Policy Referral Fees Cost Stockbroker An Outside Business Activity Fine And Suspension
July 2, 2012 - Full Text US Supreme Court Obamacare Ruling Online With Bill Singer's Commentary
June 28, 2012 - Fuggedabout Facebook Or MF Global, Get The Stockbroker With The Bouncing Checks
June 8, 2012 - FYI, FINRA Cites Small Firm For Alphabet Soup of AML,OBA,PST,and WSP
May 25, 2012 - Broker Fined And Suspended For Equity Indexed Annuities and Whole Life Outside Business Activities
April 13, 2012 - UPDATE: MF Global's Gordian Nots Will Require A Prosecutor's Sword
March 29, 2012 - In Citigroup Arbitration, A Falling Tide Stranded All Boats And Investments
December 27, 2011 - Did Someone At FINRA Do Corzine A Favor And Waive His Registration Requirements?
November 4, 2011 - U5 Says "Discharged" But FINRA Arbitrators Say "Voluntarily Resigned"
August 23, 2011 - Bill Singer's Comments on Big Tobacco's Lawsuit (American Public Media's "Marketplace")
August 17, 2011 - UPDATE: Koval Sentenced in Insider Trading Case
May 26, 2011 - UPDATE: Poteroba Sentenced in Insider Trading Criminal Case
March 30, 2011 - Second Criminal Defendant Pleads Out in UBS Insider Trading Case
January 8, 2011 - UBS Banker Poteroba Pleads Guilty
December 27, 2010 - Frequent Flyers, Potatoes, and Macy's -- One Defendant Settles with the SEC
September 29, 2010 - FINRA Panel Imposes Punitive Damages - Another Lost Generation for Wall Street Reform.
September 22, 2010 - Morgan Stanley Agrees to $800,000 Research Report Fine
August 10, 2010 - One Egregious, Punitive FINRA Arbitration and One Inexplicable FINRA Arbitration Award.
August 2, 2010 - GUEST BLOG: Regulatory Reform in the Obama Era. (Chepucavage and Broy)
February 19, 2009