An irreverent Wall Street Blog
by Bill Singer
by Bill Singer
Topic List for Sec (179 results)
- SEC Awards Second Wave Of Whistleblower Bounties
June 17, 2013 - SEC Reversed On Imposition of Bar
June 12, 2013 - Binary Options Now On Regulatory Radar
June 10, 2013 - SEC Bulletins On Corporate And Junk Bonds
June 6, 2013 - SEC Suspends Trading in 61 Empty Shells With Delinquent Filings
June 3, 2013 - SEC Fines NASDAQ $10 Million In Facebook IPO Settlement
May 29, 2013 - A Flatiron Pathfinder Gets Lost As Investors Are Defrauded
May 28, 2013 - SEC Alleges Bank Guarantee Train Pulled Away From Trading Platform
May 19, 2013 - SEC v. Harrisburg: Full-Text Order And 21a Report
May 6, 2013 - Capital One And Two Former Execs Settle Loan Forecast Case With SEC
April 25, 2013 - SEC Earns Kudos In Foreign Investor Case
April 24, 2013 - Historic SEC FCPA Non-Prosecution Agreement Involving Ralph Lauren Corp
April 23, 2013 - SunTRUST or UNTRUSTWORTHY For SEC Chair Mary Jo White
April 14, 2013 - New SEC Identity Theft Rule Warns Of The Suspicious Jabberwock
April 11, 2013 - Second Circuit Pounds Last Nail Into Madoff Plaintiffs' Coffin
April 10, 2013 - No Error Of Margin In $25 Million UBS Lawsuit
April 8, 2013 - The SEC Steps Back From Netflix and Hastings' Social Media Gaffe
April 3, 2013 - SEC Advisory Committee Calls For New Small Issuer Stock Market
April 1, 2013 - Stockbroker's Sitting In On Investment Discussion Becomes Private Securities Violation
March 19, 2013 - Stock Picking Teenage Robot Brothers Settle SEC Complaint
March 13, 2013 - Reg SCI Gets A 'Yes But' From SEC Commissioner Aguilar
March 8, 2013 - Outside Accounts. SEC Makes Inadvertent Email Production. Certified College Planner Fined
March 6, 2013 - Inadvertent Email Production By Securities And Exchange Commission Raises Concerns About Whistleblower Tips
March 6, 2013 - Da Big Kahuna Wipes Out On Stock Manipulation Ladder
February 28, 2013 - Supreme Court Reverses SEC V. Gabelli On Discovery Rule Grounds
February 27, 2013 - SEC Sustains FINRA 8210 Document Demand For Third Party Records
February 14, 2013 - US Airways Wins Massive Auction Rate Securities Award. Morgan Stanley Wins Promissory Note Case
February 2, 2013 - Compliance Officer Gets Too Creative With Customer Complaint File
January 25, 2013 - Securities And Exchange Commission Revolving Door Spins For Mary Jo White
January 22, 2013 - Barred Stockbroker Barred Again For Wire Transfers From Elderly Client
January 15, 2013 - Getting Sokol Right From Day One
January 4, 2013 - Is New Insider Trading Plan An Inroad Or Off-Ramp?
January 3, 2013 - SEC Warns Of Government Impersonators
November 30, 2012 - FOREX Ponzi Scammer Hit With Major Prison Sentence
November 16, 2012 - Attorney Client Privilege Dispute Turns Aunt Into Uncle At The SEC
November 5, 2012 - A Wife's And A Customer's Outside Accounts Land Stockbroker In FINRA Detention
October 29, 2012 - Oshkosh Omigosh! As Feds Expand Charges Against Former Carter's Executives
October 20, 2012 - Humpty Dumpty Words For Congress And The SEC
October 19, 2012 - SEC Inspector Javert Earns $1.8 Million Interest On $78,000 Judgment
October 15, 2012 - Two Oddball Wall Street Regulatory Cases
October 12, 2012 - Fanatical SciFi Army Beams Financial Firm Into Black Hole
October 11, 2012 - Historic SEC Order Slams NYSE For Data Violations
September 14, 2012 - FINRA Enforcement Loses Dramatic ARS Case
September 4, 2012 - Moronic Study Forced Upon SEC By Dodd-Frank Yields Meaningless 212 Page Report
August 31, 2012 - First SEC Whistleblower Bounties Awarded And Denied
August 21, 2012 - Stockbroker's Outside Business Activity Becomes FINRA Private Securities Transaction
August 16, 2012 - Securities And Exchange Commission Video Walks Informants Through Whistleblower Process
August 13, 2012 - SEC Schapiro's Opening Salvo At Knight Capital's Apparent Trading Error
August 6, 2012 - Dramatic SEC Report Aims To Reform Municipal Securities Markets
July 31, 2012 - FINRA Trifecta Earns Stockbroker Fine And Suspension For Borrowing, U4, Private Securities Transactions
July 27, 2012 - SEC Posts Market Circuit Breakers Investor Bulletin
July 24, 2012 - Can The Securities And Exchange Commission Order Lunch?
July 12, 2012 - SEC Charges Ponzi Fraud Literally Involved Lunacy or Lunar-cy
June 21, 2012 - FOREX Private Securities Transactions Earn Stockbroker Fine And Suspension
June 19, 2012 - SEC Schapiro Was Grounded While NASDAQ Greifeld Flew In The Cone Of Silence
June 11, 2012 - Florida Law Enforcement Heating Up As 15 Charged In 12 New Securities Fraud Cases
June 5, 2012 - SEC Approves Limit-Up Limit-Down Individual Stock And New Marketwide Circuit Breakers
June 4, 2012 - Federal Appeals Court's Dramatic Antifraud Interpretation Eviscerates SEC's Goble Victory
May 30, 2012 - SEC Sustains Another Black Eye With One-Year Suspension of Former Director Barasch
May 25, 2012 - Bill Singer Has Three Nice Things To Say About the SEC -- in one day!
May 22, 2012 - Senate Testimony Of SEC Chair Schapiro Updates Dodd-Frank Derivatives Progress
May 22, 2012 - SEC Chair Schapiro Cites Serious Domestic Business For Cancelling Flight To Beijing
May 19, 2012 - Texas State Securities Board Issues Crowdfunding Warning
May 15, 2012 - SEC Publishes Superb Consumer Guide: Variable Annuities: What You Should Know
May 7, 2012 - Kevin Sepe and 10 Others Charged By SEC In Florida Stock Fraud
May 2, 2012 - To Serve Man In Jerusalem or Pennsylvania : Challenges to SEC Service
April 30, 2012 - Twice Barred Scamster Still Pulls Off Million Dollar Muni Bond Fraud
April 19, 2012 - Feds Say Fugitive Day Trader Ran Ponzi Scheme On Gay Community
April 9, 2012 - In New SEC Fraud Case, Wall Street Seems Lined With Potemkin Villages
March 22, 2012 - UPDATE : Oshkosh! Omigosh!! Carter's Executives Named In Federal Fraud Indictments
March 21, 2012 - The SEC Couldn’t Stop Madoff or Stanford But Jams Up Judge Rakoff Over Citigroup Settlement
March 16, 2012 - Bill Singer Comments on Second Circuit's Stay of Judge Rakoff's Denial of SEC v. Citigroup Settlement
March 15, 2012 - SEC Announces Historic Pre-IPO Enforcement Activity in Social Media Sector
March 15, 2012 - Another Registered Person Loses FINRA Exam Waiver Battle
March 12, 2012 - Stanford Convicted But Plenty of Shame and Blame to Go Around
March 7, 2012 - Trading Away From His Brokerage Firm Gets Registered Person Fined and Suspended
February 28, 2012 - Bogus Securities And Exchange Commission Staff Offering $450,000 For Peanuts Down
February 24, 2012 - FINRA Arbitrators Hit Kovack Securities With Punitive Damages for A Broker's Egregious Behavior
February 22, 2012 - Statutory Disqualification for Undisclosed Tax Liens Sustained by FINRA, SEC, and Federal Court
February 21, 2012 - No Foolish Consistency in Agrawal and Aleynikov But One Hell of A Stunning Reversal
February 21, 2012 - Securities and Exchange Commission Issues 5 Page Report Announcing 1 Word Change
February 11, 2012 - BREAKING STORY from BrokeAndBroker
February 10, 2012 - Wall Street Compliance Practices Come Under Scrutiny by FINRA and the SEC
February 2, 2012 - Pre-Announced Compliance Audits Criticized In SEC Ponzi Settlement
February 2, 2012 - Wall Street Regulators Perpetuate the Big Lie of Market Integrity
January 24, 2012 - 11th Circuit Raises FINRA Due Process Dilemma in Busacca Appeal
January 6, 2012 - Offsetting Fouls In Customer Renege Arbitration About September 2008 Market Crash
December 20, 2011 - UPDATE: Lawyer Barred From Practicing Before SEC Sues
December 20, 2011 - SEC Files Historic Appeal of Judge Rakoff's Citigroup Settlement Rejection
December 16, 2011 - SEC Says That All That Glittered In Guyana Mining Deal Wasn't Gold
December 12, 2011 - Range Rover, Jaguar,and Jimmy Choo Shoes Highlight SEC's Prime Bank Case
December 6, 2011 - Prosecutorial Misconduct Cited in Landmark Dismissal by Federal Court of Foreign Corrupt Practices Act Case
December 5, 2011 - SEC Enforcement Director Khuzami Offers A Nugget On the Current Insider Trading Standard
December 2, 2011 - SEC Commissioner Warns of Disclosure Overload
December 1, 2011 - Judge Rakoff Rejects SEC's Settlement With Citigroup. Bill Singer's In-Depth Analysis.
November 30, 2011 - SEC Fishing For Compliments : Look At Our New Proactive Regulation of RIAs
November 30, 2011 - Computer Hacker Job Applicant Earns Marriott Platinum Courtroom and Prison Yard Bonus Points
November 26, 2011 - End the Politics of Wall Street Regulation: Decentralize FINRA and the SEC
November 16, 2011 - Bill Singer Breaks FINRA Story -- SEC Takes Self Regulatory Organization To Woodshed
October 27, 2011 - UPDATE:SEC Settles Infomercial Case Against BetterTrades
October 22, 2011 - SEC Settles Infomercial Case Against BetterTrades
October 20, 2011 - Tenet Healthcare, Archipelago, Andover and PCX : A Regulatory Trip And Fall Down Memory
October 19, 2011 - FINRA Loses Landmark Federal Appeals Case on Collection of Fines
October 7, 2011 - BREAKING NEWS: FINRA Loses Historic Appeal. Right to Collect Fines Curtailed
October 5, 2011 - SEC Warns About Misuse of Master Sub-Account Model
September 30, 2011 - Securities Regulation in the USA: Unending madness
September 14, 2011 - The SEC, Dodd-Frank, The Jabberwocky, and Professor Irwin Corey
September 13, 2011 - SEC Files Complaint Against Black Diamond Securities and CEO Finger
September 10, 2011 - New SEC Whistleblower Rules: How can you file and collect the big bucks?
August 12, 2011 - Bill Singer Comments on Mary Schapiro's CNBC Interview -- veteran lawyer calls for regionalization of SEC
July 21, 2011 - TWO Explosive "Street Sweeper" Blogs Now Online
July 21, 2011 - SEC Puts the Hurt on Hertz -- but is that fair and balanced?
July 8, 2011 - The Old Norwegian Monarchy Brooklyn Bridge Scam
July 5, 2011 - Selling Away. Failure to Supervise. Punitive Damages. Discovery Sanctions. All in one FINRA Arbitration
June 29, 2011 - US Airways Takes Off With $15 Million Auction Rate Securities Victory in FINRA Arbitration
June 2, 2011 - Getting the Business from BizRadio
May 26, 2011 - UPDATE: The Wells Fargo Broker Who Would’nt Give In to FINRA Bar
May 20, 2011 - Bill Singer Replies to SEC Commissioner Aguilar's Call For Boardroom Diversity
May 6, 2011 - Insider Trading Gets Comic Book Treatment from SEC
April 11, 2011 - UPDATE: Poteroba Sentenced in Insider Trading Criminal Case
March 30, 2011 - Issa and Grassley Probe SEC on Failure to Properly Examine Conflict of Interest in Madoff Scandal
March 10, 2011 - The Sins of the Father: SEC settles case with Securities Transfer Corporation and Halter
March 7, 2011 - New SEC Scandal: Can we solve this mess?
February 10, 2011 - High Gear In America: No can do.
January 27, 2011 - New Ponzi Scheme: Blame Bernie
January 10, 2011 - FINRA Arbitrators Hit Securities America with Punitive Damages in Medical Capital Notes Case
January 5, 2011 - ARS Gratia Artis? Brokerage Wins Auction Rate Securities Arbitration
January 3, 2011 - UBS Banker Poteroba Pleads Guilty
December 27, 2010 - OshKosh! SECGosh!! Carter's and Kohl's Relationship Falls Under Scrutiny
December 21, 2010 - Lawyer Steven Altman Sues SEC To Enjoin Its Permanent Bar on His Appearance/Practice Before SEC
December 9, 2010 - Law Firm Employee Named In SEC Insider-Trading Case
December 8, 2010 - A Not-so Opulent Hedge Fund
December 7, 2010 - Online Hijacking Defendants Agree to Pay $1.33 Million to Settle SEC Market Manipulation Case
December 3, 2010 - A Snarky Commentary From Bill Singer About an SEC Ponzi Case and the Politics of Regulation
December 2, 2010 - SEC Charges New York Firms and Chief Compliance Officer for Inadequate Procedures to Protect Nonpublic Information
November 17, 2010 - SEC Takes Rare Step and Bars Securities Lawyer
November 11, 2010 - The Stockbroker and The Dead Baby's Stolen Identity
November 4, 2010 - Manicurist Hit With IRS Corruption Charges -- Know What I'm Sayin'?
November 2, 2010 - Whistleblower Wins FINRA Arbitration
October 20, 2010 - BrokeAndBroker.com: Executive Summary of Flash Crash Report Online
October 1, 2010 - Rajaratnam Wins Major 2nd Circuit Appeal.
September 29, 2010 - Frequent Flyers, Potatoes, and Macy's -- One Defendant Settles with the SEC
September 29, 2010 - Churning: What it is and how it should be monitored
September 28, 2010 - Starr & Co.'s Kenneth Starr Pleads Guilty to Ponzi Fraud
September 13, 2010 - Registered Rep. Magazine /
September 13, 2010 - Gross Abuse: PIPEs Hosing -- an update and conclusion
September 1, 2010 - GUEST BLOG by David M. Sobel, Esq.: High Frequency Trading
August 19, 2010 - One Egregious, Punitive FINRA Arbitration and One Inexplicable FINRA Arbitration Award.
August 2, 2010 - FINRA Regulatory Cases Analyzed by Bill Singer. Major SEC Case Explained. E*Trade Problems Disclosed.
July 22, 2010 - Huffington Post Article: Daniel Dravot, Goldman Sachs, and the SEC by Bill Singer
July 20, 2010 - Securities and Exchange Commissioner Luis A. Aguilar 's Sage Words About Effective Regulation
July 1, 2010 - Former Associated Persons Slam FINRA Member Firms in Arbitration.
June 30, 2010 - The UK Junks Its FSA, When Will We Junk The SEC
June 19, 2010 - The SEC finally puts the horse before the cart with new circuit-breakers rules.
June 11, 2010 - Bill Singer's Huffington Post Columns: A prominent jeweler's fraud. A Chinese-based company's bookkeeping errors
June 11, 2010 - NYSE-Traded Chinese Company CYD Settles Accounting Case with SEC
June 9, 2010 - Diamond Dust: Prominent Cuban-American Florida Jeweler Named in Affinity-Fraud Ponzi Scheme
June 3, 2010 - Da Big Kahuna Indicted For Securities Fraud
June 3, 2010 - SEC Charges Unregistered Brokers From Unregistered Firm Sold Fictitious Securities in Affinity Scam
June 1, 2010 - Not Much in the Name of Progress: Pequot, Samberg, and Martha Stewart
May 28, 2010 - When You Wish Upon A Star You Go to Jail: New Disney Insider Trading Case
May 26, 2010 - LOST: One Securities and Exchange Commission Regulatory Priority
May 18, 2010 - Bill Singer in Huffington Post; Registered Rep. Magazine, Forbes, and on Bloomberg TV
May 14, 2010 - Giving FINRA the Silent Treatment -- And Getting Barred for It.
May 7, 2010 - The Securities-Scam Beast That Won't Die!
March 31, 2009 - The $600 Million Teddy Bear: WG Trading
February 26, 2009 - SEC Sanctions OPCO: Gifts, Gratuities, and Bloomberg Emails
February 25, 2009 - GUEST BLOG: Regulatory Reform in the Obama Era. (Chepucavage and Broy)
February 19, 2009 - Richard Ketchum and FINRA: Time to Answer for his Past?
February 19, 2009 - NYSE Suitability Case: Illegal Tape Recording Okay Says SEC
February 17, 2009 - Read Securities and Exchange Commission's Madoff Settlement Release
February 9, 2009 - What's wrong with yelling, cursing, harassing and threatening customers?
February 9, 2009 - Can the SEC Continue to Oversee FINRA ? (By guest bloggers Broy and Chepucavage)
February 5, 2009 - Incompetency versus Corruption: Choose Wisely
February 4, 2009 - Driving a Point Home: Stockbroker Registration
February 3, 2009 - The International Securities Scam No One Cares About
August 7, 2008 - Did You Hear the One About the Dancer and the Broker?
July 29, 2008 - FINRA's Regulatory Mulligan: SEC Not Amused
July 22, 2008 - The One-Year Suspension that is a lifetime Bar
July 9, 2008