An irreverent Wall Street Blog
by Bill Singer
by Bill Singer
Topic List for Plea (7 results)
- 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
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WTF? FINRA AWC OBA LPL RS CK
September 30, 2016
If you're a supervisor on Wall Street, it sort of goes without saying that you need to supervise. Unfortunately, a number of folks at Wells Fargo may ... Read On
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Customer Twice Victimized By Broker's Impersonation and Online Disclosure
September 29, 2016
The conduct of the registered representative featured in today's BrokeAndBroker.com Blog was improper; by way of spoiler alert, the rep impersonated ... Read On
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NY Life Rep Crosses Arbitration Rubicon With Expungement Case
September 28, 2016
A former registered representative sued his former employer for six figures in damages. The causes of action were impressive. The Financial Industry R... Read On
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Sportspicks.com Founder Lose FINRA Regulatory Wager
September 27, 2016
In and out. On and off. Registered and unregistered. There are points and counterpoints to many things in life and on Wall Street. There are things ... Read On
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UPDATE: SEC Settlement Gives Respondent 168 Years To Pay
September 26, 2016
This is an UPDATE of "SEC Settlement Gives Respondent 168 Years To Pay" (BrokeAndBroker.com Blog, February 17, 2016)We are regularly bombarded wi... Read On
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BrokeAndBroker.com by Bill Singer WEEK IN REVIEW
September 24, 2016
SEC Says Independence Compromised By Auditor And Client FriendshipWhen does a relationship between an auditor and the audit client become too close so... Read On
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SEC Says Independence Compromised By Auditor And Client Friendship
September 23, 2016
When does a relationship between an auditor and the audit client become too close so as to cross over the line from merely a "close personal relations... Read On
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