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by Bill Singer

BrokeAndBroker Weekend Update by Veteran Wall Street Lawyer Bill Singer

May 10, 2013

FBI Informant Tape Records G&S Stock Promotion Scheme
From July 2007 through February 2008, Christopher Kline, 49, York, PA, participated in a scheme in which one of his clients, William Curtis, 50, Naper...Read On
NEXT Smelled Email Smoke But Didn't Pull Compliance Alarm
Wall Street regulators have insisted -- and rightly so -- that brokerage firms monitor communications between customers and registered persons. Such s... Read On
Stockbroker Fined And Suspended For Managing Clients' Households
Regardless of your intentions, helping out a customer may not always be the best of career moves -- particularly if you are compensated for the side w...Read On
Stockbroker's Real Estate Sale Runs Afoul Of Borrowing Rule
Veteran Wall Street lawyer Bill Singer doesn't like this regulatory settlement involving an alleged violation of the Borrowing Rule.  He thinks t... Read On
Stockbroker Wins Expungement Of Suitability Complaints
A stockbroker was named as a respondent in a customer's 2009 arbitration, but, thereafter, the registered person turned around and named the customer ... Read On
FINRA Arbitrators Enjoin Stockbroker In Employment Dispute With U.S. Bancorp
Although the facts aren't exactly spelled out in this FINRA Arbitration Decision, it seems clear that a former employer broker-dealer and employee wou...Read On
SEC v. Harrisburg: Full-Text Order And 21a Report
How pathetic has the state of regulation of the securities markets become in 2013? The Securities and Exchange Commission ("SEC") just released a Repo... Read On
New York Attorney General To Sue Wells Fargo and Bank of America In Mortgage Settlement Breach
Don't Miss This CNBC Interview of NYAG Schneiderman: NY AG: Need to Fix Street's 'Rigged Casino' Impression (May 7, 2013)Full-Text Press Release ... Read On

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