Contact Bill Singer:  917-520-2836 rrbdlawyer@gmail.com
Broke And Broker Network
  • Home
  • Archive
  • Bill Singer's Resume
  • Securities Industry Commentator
  • Contact
An irreverent Wall Street Blog
by Bill Singer

Topic List for Thain (4 results)

  • Merrill Lynch Employee Fined and Suspended for Business Meals by FINRA
    November 14, 2017
  • FINRA Getting Personal With Taxi And Meal Reimbursements
    October 27, 2014
  • Padded Expenses Gets Hartford Broker Barred -- But is it a double-standard?
    September 7, 2011
  • Senator Schumer Cries for the NYSE
    February 16, 2011

Search BrokeAndBroker

Previous Entries

  • FINRA Bogarts the Weed In Medical Marijuana Settlement
    April 20, 2018

    Another day and another idiotic Outside Business Activities Rule regulatory settlement between the Financial Industry Regulatory Authority a... Read On

  • Pyrrhus, Battle of Asculum, a Stockbroker, FINRA, and a Pyrrhic Expungement Victory
    April 19, 2018

    Not being particularly fond of the times that I live in, I am a student of Ancient Greek and Ancient Roman history. In presenting today's BrokeAndBrok... Read On

  • Of Bullet Fees and In House Counsel Fees In FINRA Employment Arbitration
    April 18, 2018

    I'm not sure whether it's fact or fiction, but I've heard that in Iran and China there's a "bullet fee," which is a bill sent by the government to the... Read On

  • My Way Rules In Pro Se Expungement Case Against J.P. Morgan
    April 17, 2018

    Today's BrokeAndBroker.com Blog considers the lawsuit of a registered rep who handled his own expungement arbitration against his former employer J.P.... Read On

  • Rashomon Plays Out In Merrill Lynch Discretionary Case
    April 16, 2018

    A recent FINRA regulatory settlement presents us with the puzzling scenario of three versions of the same event as told by the stockbroker, his employ... Read On

  • BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
    April 14, 2018

    FINRA Books Outside Business Activity Fine And Suspension (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/3920/finra-oba-/ April 13, 2018T... Read On

Tag Cloud

Bill Singer BrokeAndBroker FINRA Arbitration AWC SEC BrokeAndBroker.com Expungement Employment Street Sweeper Jobs Bill SInger Wells Fargo Fraud OBA Promissory Note Email U5 U4 Wire Fraud Forbes FBI UBS Merrill Lynch Elderly EFL Morgan Stanley Citigroup Statutory Disqualification ALJ PST Defamation Ponzi Borrowing Rule 3270 Outside Business Activity Suitability OIP Whistleblower BrokerCheck IRS Wachovia Supervision Form U4 Felony Bank Wrongful Termination CRD Mail Fraud Willful NAC DOJ Supreme Court SDNY Insider Trading Employment Tuesday Form U5 Expenses BrokerAndBroker Madoff Conversion Raymond James Bankruptcy Discretion Ameriprise CCO Pro Se Punitive Damages Credit Card Forgery Rule 3040 Checks RIA Rule 3240 Dodd Frank OHO WSP Rule 2010 Discovery Real Estate Private Securities Transaction Outside Business Activities Indictment IRA JP Morgan Willfulness Settlement Tax Street Legal NASD LPL Exam Rule 1122 Commissions Estate ATM NYSE Power of Attorney Rule 8210 Wife Facebook Wall Street 2Cir Husband Impersonation Corrective Action Statement Guest Blog Case In Point Bar Tax Lien Business Expenses Bank of America Schapiro Edward Jones SRO Antitrust Test Stephen Kohn Small Firm Wire Rule 2080 Margin Trust Employee Forgivable Loan Tax Liens Offer of Settlement Mortgage Schwab Annuities Goldman Sachs Appeal Misdemeanor Securities Fraud Conspiracy Spouse Promissory Notes NASAA Trustee HFT ETF Rule 3280 Rule 2510 ARS NSF Initial Decision Fidelity Complaint T&P Beneficiary Chase Loan Injunction Cease And Desist Signatures Flash Crash LOA Huffington Post VA Barclays Lien Money Laundering Signature Due Diligence NASDAQ Away Account Credit Cards Registered Rep Magazine Hacker MSSB CFTC POA Lehman Brothers Bonus Deutsche Bank Gallagher Unfair Competition Annuity Liens Remand Variable Annuity Continuing Education RBC BrokeAndBroker DCCir Bharara RRBDLAW.com FINRA Arbitration PCAOB Annual Compliance Questionnaire Letter of Authorization OTR Mandatory Arbitration employment Eligibility Rule Identity Theft Malware E*Trade Unauthorized Discretion Forex email Solicitation Second Circuit 2nd Circuit Scottrade jobs Registration Rule 3010 Rule 12206 LIBOR Stay JPMorgan Wedbush Prison Insurance Net Capital Rule 3050 Hacking Failure to Supervise Social Media arbitration Stockbrokers Away Accounts Wey Website Fiduciary Spouses Undisclosed Settlement Customer Complaint Rule 4511 FINOP Private Placement BOP Internet Bureau of Prisons Judgments Compliance 10Cir Solicited Guest Blogger Audit Newman Telephone FOREX TRO Options Time And Price Trading Platform Great Recession IC3 Brummer Broker Protocol Burris Will Reg SP Private Securities Transactions RRBDlaw.com MetLife Hedge Fund Spoofing Piwowar Cheating Auction Rate Securities Rakoff brokeandbroker Examination Divorce Self Regulation China BrokeandBroker Obstruction of Justice Apple Explained Decision Sanctions OWB BrokeAndBroker Bill Singer Confidential Information Rule 12805 Dissent NYAG Unsolicited Unauthorized Trading Retirement Rule 4530 ADA RMBS Knight Rule 2111 Protocol Willfully Plea DOL Retaliation MF Global PN Joshua Brown Commission Vacatur Postponement Hurry Medicare Charge Check Kiting REIT Board Confidential Raiding Discrimination Sanction Guidelines Wine SAC EIA Lehman Arbitraiton Phishing Due Process High Frequency Trading Sexist Executor Woody Allen Affiliate Reg D OSHA Article V Variable Annuities Regulation SP Ketchum Shah Gilani Bandimere Motion to Dismiss Wire Transfer Crowdfunding Morgan Keegan Khuzami Aleynikov IPO Class Action Botkin Gold Banc of America Debit Card PNC Disclosure Unsuitability Customer Passcode Affinity Fraud Disgorgement OIG Check Rule 3030 Government Accountability Project Ride the Thunder Customer Information Chief Compliance Officer Reimbursement Confirm Testing Yesenia Guitron Morgan Stanley Smith Barney Deferred Compensation Marine Corps Marines Mutual Fund Bear Stearns Fees Failure To Supervise Reg S-P Eligibility Vietnam Jurisdiction Whitman Poteroba Bloomberg Embezzlement Series 7 ACQ Guitron ING Kon Charity Laptop Oppenheimer Private Placements Pennystocks Waiver Indemnification Aguilar Testimony Stifel CE Unjust Enrichment Lawyer Termination 401k Online Statute of Limitations Vault NPR Information Appointments Clause Charles Schwab Compensation Penson CEO Conflict Bid Rigging Parking MC-400 Rosenthal Recruiting Commodities Fraud USERRA McDuff Lucia Sexism Rule 2081 Rule 12200 Sales Assistant JOBS Act Statement of Corrective Action Side Bar Self Regulatory Organization Marketplace Employment Agreement Unregistered Bank Fraud Day Trading Personal Expenses Stanford White Disability Teleconference Whistleblowing Corzine Morgan Stanely WSPs Finder\'s Fee Smith Barney 9Cir Corruption Casino Deceased Pennystock HSBC 6th Circuit Hearing Widow bill singer Red Flags expungement Backstage Wall Street TheBlot FOCUS Chase Investment Services Arrest Investor Alert TD Ameritrade Guest Bloggers Written Supervisory Procedures WaMu Rule 9216 Taft Correctional Institution Department of Justice Inmate CPA Counterclaim Credit Suisse Outside Account SP Judgment Medical Condition Restaurant Non-Solicitation Zipper Dakota Securities RRBDlaw Severance Rule 3110 Commodities Scholander Emails Research Investment Adviser Stifel Nicolaus Sexual Harassment Stockbroker Thain Stipulated Award Trade Secrets Client Information Tortious Interference Administrative Remedies Third Party Vendor Accounting FNMA TSSB Suspension Rule 2150 Unauthorized Practice of Law Do Not Call CNBC Chiasson IAR Margin Call Consent Order Imposter Circuit Court Fifth Amendment BATS 40 Act FINRA AWC Rule 13805 Verbal Discretion Rule 2370 David Sobel Broke And Broker Timban TIC CGMI Female Moon Leveraged ETF Hospital Rule 1031 Equity Indexed Annuities 11th Circuit Layering Schneiderman 401(k) Tax Fraud Scottsdale Negligence Outside Accounts Elder Abuse AML Securities Industry Commentator Argentina BrokerAndBroker.com Netschi Moore Frumento Fowler Bonds Johnny Burris Dell Florida 4Cir OWWP Loans Christian Stanley Lincoln Financial Inside Information Form ADV Reverse Life Insurance Dementia FCI Probate FCI Beaumont OCIE Small Firm Governor Elles JPM Sharing Agreement Bill Singer BrokeAndBroker Schumer US Airways Cellphone Johnson Dow Pension Disciplinary History FMLA Wells Fargo Advisors Spam Fourth Amendment Diabetes Branch Manager Enforcement God Supervisor iPhone Constructive Discharge Death Motion To Dismiss Regulation S-P Varney Immunity SunTrust Preet Bharara Gabelli Boyland S&P Sexual Discrimination FINRA Small Firm Aegis Frumento Mary Jo White AWC. FINRA Hugh Hewitt CDO Personal Information Spoliation Stock Promotion FTC Compromise Short Sale Promoter Costa Rica Texas State Securities Board Scam Bartko Books and Records Non Solicitation Subway Apartment Solomon Quasi Governmental Rule 9552 Obstruction false statements 8210 Walter Prime Bank Fiduciary Duty EDNY Falsification Undertaking Joint Account Collateral Bar Eric Stein Municipal Advisor Salman Reverse Merger NRSRO Retroactive Bar Euro Liquidation Mother Retroactive Counterfeit Fine Rule 420 FCPA Pacifico Laser Excel 9th Circuit Trainee Fee Lee Customer Files Fines Privilege Fiero BrokeAndBroke PAQ Oral Discretion Theft Impersonator Customers FINRA Board Galleon Data Public Interest Sex BitTorrent Mattera Relevant FDA Murray Kennedy Blank Forms Kenneth Starr LLC Membership Continuance Churning Disparate Treatment Inability to Pay Standing Lek DWI Anderson Compliance Questionnaire BBVA Leveraged ETFs Collateral Securities and Exchange Commission Attorneys\' Fees Cybercrime Attorneys Fees Retired Woman With Cane Practice Sale Money Market 1Cir House Financial Services Outside Counsel RRBDLAW Brokeandbroker.com Withdrawals In House Counsel Payroll Broy Obamacare Concentration Wages Books And Records BD McCartney Springsteen TOD CRS Flash Drive ACH Escrow Permanent Bar Motion to Vacate Turbeville Taxes Wanger David Lerner Tennis Court Board of Governors Reform Nasdaq Initials Rules of Practice Password Marijuana Undercover Expense Congress Goble BrokeandBroker.com Mary Schapiro Criminal Statutory Disqualification Committee Merrill Kiting Subpoena Bank Guarantee AXA Reuters Evidence Fee Tipper SEC Rules of Practice Altered Records Proctor SIPC GAP Silver Rule 13200 Manifest Disregard Executrix Tran Countrywide Pruco Settling Away Tippee Summary Judgment Google Jon Corzine Hertz Star Wars 1099 Reason for Termination Martoma AIG VIX VXX Trader Stop Loss Trading Nationwide Resignation Electronic Communications Lawyers FNI Media Oilpro Federal Reserve Checking Office of Special Counsel Kent Koval Selling Away Test Center NYG Capital Elder Fraud Skimming Currency Advisor Placement Group Naskovets Commissioner Stein Motion signature Over Concentration Exhaustion Doctrine Lewis Carroll Cherry Picking PIABA NML Rule 2210 Credit Repair Bribe Mutual Funds Martin Non-Prosecution Agreement


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 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

Media And Resources

  • Bill Singer's Resume
  • Press Room
  • RRBDLaw.com
  • BrokeAndBroker Blog
  • Securities Industry Commentator

Subscribe

Please enter your email address below if you wish to subscribe to Bill Singer's mailing list.

RRBDLAW.com & Securities Industry Commentator™ © Copyright 1998-2018 Bill Singer. Third party Trademarks, graphics, and/or content are the property of their respective owners.
Advertise | Privacy Statement | Legal Notice