An irreverent Wall Street Blog
by Bill Singer

Live from Columbus's Fourth Ship, the Pina Colada: Bill Singer Esq Reports on Wall Street

October 8, 2018


Today is the federal holiday of Columbus Day, which is sort of a day off for parts of Wall Street but not for the entire market. The BrokeAndBroker.com Blog's publisher Bill Singer has been caught up in the spirit of the holiday and will be reporting back to us from behind the Nina, the Pinta, and the Santa Maria -- Bill is on the lesser known Pina Colada. While Bill is covering today's holiday festivities, he has sent us his daily dispatch from his "Securities Industry Commentator," fast becoming, in Bill's own words, an amazing, riveting, and succinctly parsed legal, regulatory, and compliance feed about all sorts of intriguing matters at the Department of Justice, the SEC, the CFTC, FINRA, and other prosecutors and regulators both known and unknown. Below is a sampling of the eclectic nature of the Securities Industry Commentator's weekday feed:

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2Cir Commissions Credit Card Outside Business Activities Employment Tuesday NYSE Promissory Notes Madoff Small Firm Rule 3040 Frumento FAA Wall Street Beneficiary Insurance Injunction Private Securities Transaction Corrective Action Statement Annuities Options Tax Liens Bank of America Antitrust Facebook Rule 3280 Impersonation CFTC Real Estate Customer Due Diligence Power of Attorney Indictment Remand ETF Rule 12206 Exam Stay Tax Lien Crypto Trust Street Legal Test Mortgage TD Ameritrade SRO ATM Spouse Offer of Settlement Trustee Misdemeanor OWB COVID Away Account Signature Securities Fraud Goldman Sachs Retaliation Annuity Complaint OTR Barclays Solicitation Motion to Dismiss Sanctions ACQ Rule 2510 POA Explained Decision Jurisdiction NASDAQ email VA Case In Point Schapiro Wire Eligibility Rule Initial Decision Blockchain Rule 4511 Loan Spouses DCCir Lien Unauthorized Discretion Discrimination Appeal ARS T&P NSF 9Cir Burris Conspiracy Reg SP E*Trade Liens Fidelity HFT Rule 12200 Employee Forgivable Loan JPMorgan Money Laundering Rule 4530 Mandatory Arbitration RBC Cease And Desist Signatures NASAA Great Recession PCAOB Flash Crash Unfair Competition Bonus Class Action Deutsche Bank Unsuitability Fiduciary Compliance expungement Failure to Supervise LOA Manifest Disregard AML Reimbursement REIT Motion to Vacate Personal Expenses Continuing Education CRS Dissent Rule 3010 Retirement 10Cir Chase Huffington Post Willfully Due Process Customer Complaint Scottrade Vacatur Credit Cards Undisclosed Settlement Hacking Divorce Severance Disgorgement Broker Protocol MC-400 Board Rule 3110 Unauthorized Trading Lehman Brothers Bharara Rule 3050 Cryptocurrency Registered Rep Magazine Spoofing Disclosure SDFL Sexist Sexism Identity Theft Bitcoin brokeandbroker Malware RRBDLAW.com Fees MSSB Will BD Internet Deceased Hacker FINRA Board Gallagher Variable Annuity IAR Stockbrokers Zipper Kokesh Trading Platform Emails Stifel employment LIBOR Widow Examination Coronavirus Letter of Authorization Elder Abuse Wedbush Away Accounts Variable Annuities Annual Compliance Questionnaire Social Media Audit Wey Forex FINRA Arbitration Apple Lucia Loans Self Regulation Website Solicited Private Placement Statute of Limitations Indemnification WSPs Private Securities Transactions Commission Hedge Fund Rule 12904 Postponement Brummer PNC Rule 2150 3Cir 2nd Circuit Second Circuit jobs Bonds FINOP BrokeAndBroker Bill Singer BOP 4Cir Gensler Arbitraiton Breach of Contract Crowdfunding Net Capital Rule 12805 Credit Suisse RMBS Confidential Information Registration PIABA Public Interest Unsolicited Dakota Securities Waiver Rule 9552 Rule 2111 Prison Exhaustion of Administrative Remedies Lehman Unjust Enrichment IC3 Margin Call Suspension Bureau of Prisons Motion to Confirm CE China Cheating Time And Price Newman Judgments IPO TOD JPM RR Marijuana MetLife Robinhood bill singer BrokeandBroker FOREX Charles Schwab Unsuitable Morgan Keegan NYAG BrokeAndBroker.com Blog Plea ADA Debit Card OIG Bear Stearns Diversity Non-Solicitation Sanction Guidelines Imposter Telephone Rule 13200 Hilton Weiner RRBDlaw.com Whistleblowing CMA Sexual Harassment Non Solicitation Reg S-P Mother Series 7 Charge DOL Counterclaim Elder Fraud 11Cir Compensation Testimony Raiding Mutual Funds Oppenheimer Leggett JOBS Act Concentration Rule 2081 CPA WB-APP Rakoff 1Cir Tortious Interference SunTrust Restaurant Stifel Nicolaus Rule 4513 FNMA NoCA Lawyer Piwowar Obstruction of Justice Whistleblowers Gold Racism Protocol Private Placements 9/11 Confirm OSHA Finra Botkin Joshua Brown Regulation SP NDCA Auction Rate Securities Broke And Broker Small Firm Governor Employment Agreement Check Kiting Membership Continuance Statutory Disqualification Committee Covid Rule 2210 Knight CNBC Board of Governors Puerto Rico Embezzlement Check Funds Termination Enforcement Wine Immunity Biden Rule 12504 Written Supervisory Procedures Passcode Pennystocks Customers Inability to Pay Reg D Michael King AAA VIX Sarbanes Oxley Michael King Associates Lawyers Test Center Preliminary Injunction Sales Assistant securities industry commentator Trade Secrets TheBlot SAC Form ADV PN Medicare Corruption Hurry Dementia Testing Pennystock Rosenthal Recruiting Deferred Compensation Robert Cook aegis frumento Khuzami Day Trading High Frequency Trading Feigenbaum Aleynikov insecurities 10b-5 CEO fraud Churning Ketchum Confidentiality guest blog USERRA guest blogger Bandimere Customer Information Confidential Cannabis Unregistered Johnny Burris EDNY Banc of America MF Global Rationale Circuit Court Saad Leveraged ETF EIA Research Morgan Stanely Affinity Fraud TSSB HSBC supervision Irreparable Harm Article V Shah Gilani Conflict Executor Bloomberg Rule 13805 Appointments Clause Information Affiliate Standing Taxes Wire Transfer Woody Allen Charity Bank Fraud TCR Stanford Federal Reserve Puts Service Phishing ING Restitution Outside Account Medical Condition Star Wars Absolute Immunity Whitman IM Commodities Fraud Hester Peirce Default FINRA AWC Side Bar Self Regulatory Organization White Parking Morgan Stanley Smith Barney Argentina Constitution Talman Harris Subpoena ICO Yesenia Guitron Guitron 6th Circuit Mutual Fund CDO Government Accountability Project FINRA Small Firm PAQ AXA Eligibility Pruco Unauthorized Practice of Law Marketplace Marine Corps Negligence JPMS Honorarium Hearing Rule 3030 Aguilar McDuff Hugh Hewitt Relevant Disciplinary History NPR Bid Rigging Self Directed Consent Order Ride the Thunder Laptop Spoliation Sexual Discrimination Corzine Excessive Trading Trader Vietnam Marines Joint Account Chief Compliance Officer Sharemaster Obstruction Rule 3310 Casino Accounting Third Party Vendor Google Chase Investment Services Attorneys Fees Layering Amazon DNJ Privilege Smith Barney Probate OCIE BrokeAndBroke signature David Sobel Teleconference Over Concentration Online Poteroba Securities America ACH Ethereum money laundering Wanger Moon CGMI Rule 21F 401k Rule 12212 Failure To Supervise NRF Lincoln Financial Beneficiaries Conflict of Interest 6Cir Rule 9554 Stipulated Award Superior Court Nietzsche Congress Motion to Compel FMLA Disability Kon Finder\'s Fee Vault Statement of Corrective Action Administrative Remedies Penson Death Microcap CD Capital Gains Trading Stockbroker Investment Adviser Rule 2430 Dell Racial Discrimination Fifth Amendment Female 11th Circuit Kiting Title VII SD Fine Wires Elder Law Crime Daughter GameStop Fiduciary Duty SP Acosta Attorneys\' Fees Blank Forms Fee Commissioner Stein 401(k) Settling Away TIC Scholander Control Person Confirmation EDPA Chiasson Interactive Brokers Tesla Risk Gamification Fines Reuters YouTube WhatsApp Texting Stop Loss Fowler Guest Bloggers Civil Rights Judgment ESOP Timban Rule 9216 Book of Business Motion LLC Meals Schneiderman Jennifer Tarr wrongful termination RRBDlaw Arbitration Inside Information Copyright 10b-10 Resignation Verbal Discretion Puerto Rico Bonds Rule 1031 Regulation S-P UIT Electronic Communications Investor Alert State Actor S&P Cold Spring Advisory Group Hospital David Lerner FCPA Do Not Call Red Flags WaMu Oral Discretion Florida Backstage Wall Street FAP Chase Bank Johnson Counterfeit Cantor Fitzgerald Thain DMD Hotel Conflicts Expert Witness Falsification Extortion OWWP BrokerAndBroker.com Relevant Inmate FOCUS Outside Accounts Withdrawals Client Information RICO Arrest Tax Fraud Subject Matter Jurisdiction Chevron Annual Audit Ethics Prudential Series 79 Outside Counsel 17a-5 elderly NY Life Password Extraordinary Circumstances Money Market Liquidation Newport Coast Securities 40 Act Equity Indexed Annuities Department of Justice BATS Commodities Scottsdale Elles Zoom Self Reporting Gross Escrow Res Judicata Reform Turnover SIFMA Offset Rule 13504 Non Solicit Slander BrokeAndbroker NYG Capital Son VXX For Cause mail fraud Taft Correctional Institution Selling Away wire fraud Penalty Permanent Bar Revocation Reverse Life Insurance Pension Christian Stanley Respondeat Superior 5Cir Moore Regulation Obama Netschi FCI Beaumont Libel First Amendment Data FCI Disciplinary History Rule 2370 Rory Flynn Life Insurance Transamerica Ten Commandments Well Managed Portfolio defamation State Farm Kierkegaard Securities and Exchange Commission Confidential Customer Information Lorenzo Grievance Jury Instructions JP Morgan Securities Retired Woman With Cane Merill Lynch Rule 21F-17 Bill Singer BrokeAndBroker Undertaking Willfull CMO Legend Eric Stein Press Release Fiero Section 206 Third Party Beneficiary Rule 13104 Alcoholism Rule 12104 Forfeiture Tennis Court Margin Calls 529 Plan Investment Advisers Act Father Mail Expense Dissident Koval QuadrigaCX Office of Special Counsel MSPB Compliance Questionnaire Merger Stipulation Unauthorized Trades Excel DRS Deferred Prosecution Agreement Bill singer No Show Malice Lek Skimming Naskovets DPA Exception Reports Powell FTC ESG Newbridge Covid-19 Collateral BIll Singer Obamacare NFT Flash Drive Currency Theft Reason for Termination sexism Kenneth Starr Life Settlement Nationwide Murray reimbursement expenses Leveraged ETFs Work Product PHC GAP Disparate Treatment Fourth Amendment Nasdaq Led Zeppelin Deceased Customer NFA Allstate Tax Advice Molchatsky NYLIFE Transitional Bonus Production Bonus AWC. FINRA RRBDLAW Vungarala Purshe Kaplan God In House Counsel Texas State Securities Board BBVA Turbeville Stock Promotion Swaps Non-Solicit EB-5 Brokeandbroker.com Corporate Credit Card Coin Notice Prime Bank Financial Disclosure Proctor Promoter Shotgun Pleading Rule 13201 BitTorrent Gabelli Customer Files Series 66 Frivolous Apartment PSRO NMS National Securities Stephen A. Kohn Training Impersonator Blackbook Ecuador Hackers Initials Harassment Subway House Financial Services Broy Schottenstein Rule 144 Section 1332 MDLA ALJ Grimes IBM Disney Sex Mary Jo White WBAPP Form TCR SDOH Wells Fargo Advisors Dinner Sears Wire Transfers Compromise iPhone Galleon Salman Supervisor Liu Lexicon Rule 13206 FINRA Eligibility Rule Statute of Limitation ALJ Foelak DWI Ineligibility Gifts Joint Production 9th Circuit Transfer Mistake FDA ADR Court of Appeal Twitter MBS Extraordinary Cooperation Checking Last Known Address In Connection With Mantar GME Fidelity Brokerage Services Mary Schapiro Criminal Motion To Dismiss BrokeandBroker.com Khan Preet Bharara SLUSA Calls NRSRO Municipal Advisor Bartko Compliance Officer Goble Short Sale Collateral Bar FINRA Foundation FNI Media Jon Corzine Binary Options Retroactive Retroactive Bar Branch Manager Fraudulent Inducement NPI Peirce Tipper Tippee US Airways Practice Sale Citibank Kent DMCA Executrix Altered Records Oilpro finra Cellphone 8210 Reasonable Motion to Exclude Clearing Firm Spam Discharge Bezos Hurtado Orders Daspin Rule 13212 Undercover Audit Committee Lee Beatles Dostoevsky Cryptocurrencies Silver Women Cybercrime At Will Gnomes Voya South Park Overtime Wages Allocation Clayton Capitalism William Faulkner NML Cybersecurity Diamonds Reverse Merger Lewis Carroll Cherry Picking JAMS Bribe Scam Diabetes Sharing Agreement whistleblower Fundacion Nicor Boyland JPMorgan Chase Romer Nicolas Corcione Principal Bequest Rule 2330 Fernandez ETFs Municipal Bonds Panama Traders Laser Justice Bob Dylan Costa Rica Harris Sterne Agee Summary Judgment Witness Tampering Personal Information Mattera Elon Musk Success Fee EEOC Guardianship Non Compete Constructive Discharge Solomon Quasi Governmental Walter Books and Records Dow bank Espionage Schumer false statements annuities Rule 420 Hostile Workplace Varney AI Kovack Securities Trainee Fee Examinations HBO Exotic ETF Rule 12511 DDC Kennedy Communications Ruder Task Force Exception Report SDCA Punitive Berthel Fisher Guardian 1099 Countrywide Income Bank Guarantee Particularity FinCEN Law School Game of Thrones Howey Evidence Vacate Arbitrator Non-Prosecution Agreement SIPC Janney Montgomery Scott SEC Rules of Practice Hearsay Motion to Compel Arbitration Rules of Practice Payroll Tran MAP Baby Boomers Tysk ACT! McCartney Altered Motion to Postpone Springsteen Advisor Placement Group Back Dated Books And Records Jay Clayton CAT Patriot Act Wang Travel Bank Secrecy Act Martin Credit Repair College Reg SHO Preliminary Determination Rule 3210 Burden of Proof Investacorp Expert Anderson Production Martoma AMC Dylan securities fraud Exemption Hayden Hertz Rule 13904 Motiion to Acquit DCO Pershing ADEA Banks Public Arbitrator Age Discrimination Arbitrability AIG Pacifico Vaccarelli Merrill Exhaustion Doctrine