An irreverent Wall Street Blog
by Bill Singer
by Bill Singer
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Previous Entries
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The Failure of Wall Street Compliance and Regulation: A Case In Point
December 12, 2018
They will try to convince you that Wall Street has an effective two-tier system to protect investors. First, there's the in-house Compliance Staff. Se... Read On
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FINRA Rule 8210 and FINRA Rule 9552 Analysis by Bill Singer Esq
December 11, 2018
There may come a time if you are a FINRA member firm or associated person when the self-regulatory-organization comes a knockin' and asks you some que... Read On
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FINRA Rule 8210 Demands End With Stockbroker Bar
December 10, 2018
For those caught up in a FINRA investigation, there often comes a moment when you open a letter from Staff and it asks for numerous written explanatio... Read On
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BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
December 8, 2018
The Complaining Customer Is Dead, The File Is Lost, But A Stockbroker Battles On for Expungement (BrokeAndBroker.com Blog)http://www.brokeandbrok... Read On
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The Complaining Customer Is Dead, The File Is Lost, But A Stockbroker Battles On for Expungement
December 7, 2018
In today's featured FINRA expungement arbitration, we praise the impressive effort of a lone FINRA arbitrator, who patiently and intelligently explain... Read On
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GUEST BLOG: Blaming Nobody by Aegis Frumento Esq
December 6, 2018
Blaming Nobodyby Aegis J. Frumento, Partner, Stern Tannenbaum & Bell Most interviews with government officials are lame. The interviewer, usu... Read On
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The Wife, The Husband Stockbroker, The Divorce, The Wife's Complaint, and a FINRA Expungement Arbitration
December 5, 2018
We raise the curtain on a husband and wife headed for divorce. He is a stockbroker. She is a customer. She is not an actual customer. She is not ... Read On
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