Bill Singer's Street Legal Column Now Online

September 12, 2011

Sometimes, no matter what, it seems that it's always the stockbroker's fault.  Now -- mind you -- quite often that's a safe bet.  There are a lot of bad guys and gals out there parading as Wall Street professionals when, in reality, their only interest is to generate commissions and, worse, steal your money.  On the other hand, much the same could be said of many lawyers, CPAs, and a whole host of other supposed professions.

Still, just because you're charged with something doesn't mean that you're guilty.  Unfortunately, in the world of Wall Street's regulatory proceedings and arbitrations, it often seems that the deck is stacked against the lowly stockbroker.  However, every so often, reason prevails and justice is done.

In his current Registered Rep. magazine column, "Street Legal", author Bill Singer presents one such case in which a stockbroker named as a respondent in a FINRA customer arbitration won a much-deserved expungement of his record. READ "It's Not Always the Broker's Fault."

Don't miss Bill Singer's other 2011 Street Legal columns:

  • Till Death (And Arbitration ) Do Us Part (January 2011)
  • Repayment of an EFL rested on whether a UBS branch was permanently closed (February 2011)
  • Beware the Bankrupt Financial Advisor (March 2011)
  • FINRA's Decision on a Financial Advisors' Tweets Is a Lesson for All (March 2011)
  • When Off the Clock is On the Record (April 2011)
  • Blaming, Naming and FINRA Gaming (May 2011)
  • The Regulatory Semantics of Customer Complaints (June 2011)
  • Stockbroker's Career Ends With a TILT (July 2011)
  • The Lawyer, The Stockbroker, The Ex-Wife, and the Widow (August 2011)
  • It's Not Always the Broker's Fault (September 2011)