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An irreverent Wall Street Blog
by Bill Singer

Topic List for Risk (6 results)

  • Stockbroker An Unintended Bystander Victim In Drive-By Customer Complaint
    September 10, 2018
  • U Can't Touch This PERFECT FINRA Suitability Arbitration Decision
    December 15, 2017
  • SEC Risk Alert Announces Retail Retirement Examinations
    June 22, 2015
  • SEC Commissioner Gallagher On Market Risk, Stocks, And Savings Accounts
    April 4, 2014
  • Riskless Principal Bond Trader Barred
    February 27, 2014
  • Filling In The Blanks Gets Chase Stockbroker Fined and Suspended
    March 18, 2013

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Previous Entries

  • BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
    February 16, 2019

    Stockbroker Infallibility Too High A Bar Says FINRA Arbitrator(BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4437/finra-expungement-infallible... Read On

  • Stockbroker Infallibility Too High A Bar Says FINRA Arbitrator
    February 15, 2019

    If nothing else, Wall Street is a place that lives and dies with its predictions. You got those folks who have predicted 12 of the last two recessions... Read On

  • GUEST BLOG: To Hold and Have Not by Aegis Frumento Esq
    February 14, 2019

    To Hold and Have Notby Aegis J. Frumento, Partner, Stern Tannenbaum & Bell In Mel Brooks' Spaceballs, the villains eventually pry th... Read On

  • Lord Voldemort, Bank of America, Merrill Lynch, FINRA, And Childcare Expenses
    February 13, 2019

    In today's featured FINRA regulatory settlement, a former employee of an unnamed bank is barred because of her alleged misconduct at that unnamed bank... Read On

  • Former National Securities Corp President/CEO Sues Firm In FINRA Expungement Case
    February 12, 2019

    In a recent FINRA expungement arbitration, we find FINRA member firm National Securities Corporation being sued by none other than its former Presiden... Read On

  • Merrill Lynch Stockbroker Crashes And Burns Over Class B Shares Limits
    February 11, 2019

    Wall Street's regulations, rules, policies, and protocols often appear as a challenge for some stockbrokers. It's not that brokers don't understand th... Read On

  • BrokeAndBroker.com Blog: by Bill Singer Esq WEEK IN REVIEW
    February 9, 2019

    Sexism on Wall Street: New Chapter, Same Book (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4427/sexism-wall-street/Wall Street is no lo... 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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