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An irreverent Wall Street Blog
by Bill Singer

Topic List for Plea (13 results)

  • Federal Court Cites Quintessential Shotgun Pleading and Myriad of Motions in FINRA Arbitration Appeal
    May 22, 2020
  • FINRA Settles Case Involving What Looks Like A Felony But Isn't
    January 17, 2020
  • Wall Street Career Cashed Out Over Identity Theft and Gift Cards
    June 7, 2018
  • FINRA Felony Jigsaw Puzzle
    August 10, 2017
  • This Damnable Sin
    May 23, 2017
  • Bogus Stockbroker Gets 15 Years In Prison For Elder Fraud
    November 22, 2016
  • FULL TEXT Credit Suisse Criminal Case
    May 20, 2014
  • Full Text Of Plea Agreement In SAC
    November 7, 2013
  • SAC Gets Sacked By Feds. READ Full-Text Indictment, Complaint, And Plea
    November 5, 2013
  • Guilty Pleas In Antitrust Division Municipal Bond Bid Rigging Case
    December 31, 2011
  • Bharara Adds Another Notch As Madoff's Controller Pleads Guilty to Four Counts
    December 20, 2011
  • Another Madoff Defendant Pleads Out. Read Cooperation Agreement and Indictment.
    June 7, 2011
  • Remember Jerry, Kramer and Brody and their videotaping antics? Sort of what this federal case is about.
    May 6, 2011

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Previous Entries

  • 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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