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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Bill Singer BrokeAndBroker FINRA Arbitration AWC SEC BrokeAndBroker.com Expungement BrokerAndBroker Employment Guest Blog Guest Blogger Wells Fargo Street Sweeper Bill SInger Jobs Aegis Frumento OBA U5 Fraud Promissory Note U4 Email Merrill Lynch Morgan Stanley UBS EFL Defamation CRD Elderly InSecurities Wire Fraud Statutory Disqualification BrokeAndBroker OHO PST Suitability Forbes FBI NAC Whistleblower ALJ Ponzi Rule 3270 Citigroup Supervision DOJ BrokerCheck Borrowing Form U4 IRS SDNY OIP Willful Supreme Court Expenses Pro Se Outside Business Activity Bank Felony Ameriprise WSP Wrongful Termination Rule 2080 Securities Industry Commentator Discretion Form U5 Dodd Frank Rule 8210 Wachovia IRA Discovery Rule 2010 RIA Raymond James JP Morgan NASD Wife Mail Fraud Business Expenses Insider Trading Bar CCO Punitive Damages Conversion Husband Rule 1122 Forgery Bankruptcy Checks TRO Stephen Kohn Edward Jones Rule 3240 LPL Willfulness Settlement Tax Estate Trump NYSE Margin Commissions Outside Business Activities Credit Card Employment Tuesday Schwab 2Cir Madoff Promissory Notes Insurance arbitration Rule 3040 Beneficiary Small Firm Frumento Wall Street FAA Annuities Corrective Action Statement Private Securities Transaction Facebook Rule 3280 Injunction Impersonation Options Tax Liens Power of Attorney Bank of America Antitrust Customer Indictment Real Estate Exam CFTC Rule 12206 Tax Lien Remand ETF Trust Mortgage Spouse ATM Due Diligence Test Offer of Settlement Stay Street Legal SRO Signature Trustee COVID Misdemeanor OTR Barclays Complaint Rule 2510 email Case In Point Motion to Dismiss Sanctions POA Crypto NASDAQ Eligibility Rule Solicitation Annuity Away Account ACQ VA Wire Goldman Sachs Explained Decision Spouses Securities Fraud Schapiro Rule 4511 Initial Decision Lien Jurisdiction ARS Retaliation Loan OWB Appeal Rule 12200 Rule 4530 Employee Forgivable Loan Reg SP Mandatory Arbitration Burris Money Laundering Liens E*Trade JPMorgan Unauthorized Discretion DCCir 9Cir T&P Blockchain NSF PCAOB Bonus Signatures RBC Discrimination Great Recession Conspiracy Cease And Desist Flash Crash Deutsche Bank NASAA HFT Fidelity Continuing Education Fiduciary LOA Dissent Manifest Disregard Failure to Supervise Reimbursement AML Compliance Unfair Competition REIT Retirement TD Ameritrade Huffington Post Willfully Hacking expungement Rule 3010 Motion to Vacate Severance Undisclosed Settlement Disgorgement Credit Cards Personal Expenses Scottrade Vacatur Broker Protocol Unsuitability Divorce Class Action Chase Spoofing Registered Rep Magazine Bitcoin SDFL Malware Cryptocurrency Gallagher Variable Annuity Lehman Brothers RRBDLAW.com Unauthorized Trading Will 10Cir BD MSSB Board Due Process MC-400 IAR Customer Complaint Disclosure Deceased CRS Identity Theft Rule 3050 Bharara brokeandbroker Hacker Sexism Statute of Limitations employment Stifel Lucia Stockbrokers Widow FINRA Arbitration Audit FINRA Board Loans Wey Forex Private Placement Away Accounts Variable Annuities Internet Rule 3110 Letter of Authorization Emails Self Regulation Sexist Coronavirus Zipper Apple Website Examination Social Media Annual Compliance Questionnaire Wedbush PIABA Brummer Credit Suisse Public Interest Dakota Securities Rule 12904 Prison PNC Lehman Solicited Commission Elder Abuse Registration RMBS Private Securities Transactions Kokesh Crowdfunding Trading Platform WSPs BrokeAndBroker Bill Singer Rule 12805 Bonds jobs Indemnification BOP FINOP Fees 2nd Circuit Confidential Information Arbitraiton Postponement Rule 2111 LIBOR Rule 2150 Second Circuit Net Capital 3Cir BrokeAndBroker.com Blog Unsolicited bill singer Judgments Morgan Keegan Robinhood Rule 9552 Sanction Guidelines Cheating Bureau of Prisons Plea RR Hilton Weiner Telephone NYAG Bear Stearns IC3 Hedge Fund Waiver China Unjust Enrichment Whistleblowing Newman TOD Diversity Debit Card Charles Schwab Time And Price CE Marijuana ADA Motion to Confirm 4Cir BrokeandBroker MetLife RRBDlaw.com Exhaustion of Administrative Remedies Suspension FOREX Non-Solicitation IPO Imposter Botkin OSHA Rakoff DOL SunTrust Rule 4513 Auction Rate Securities Oppenheimer JPM Lawyer Confirm Series 7 11Cir Puerto Rico Stifel Nicolaus JOBS Act Elder Fraud Counterclaim Mutual Funds Concentration WB-APP Joshua Brown Obstruction of Justice Small Firm Governor Board of Governors Whistleblowers Charge CPA Breach of Contract Rule 2081 Tortious Interference Racism Embezzlement Restaurant Compensation Knight Private Placements Protocol Membership Continuance Statutory Disqualification Committee Broke And Broker Regulation SP Check Kiting Rule 2210 Reg S-P 9/11 Testimony Piwowar Mother Rule 13200 CNBC Gold Covid Employment Agreement FNMA Medicare Johnny Burris Shah Gilani Leveraged ETF Inability to Pay Sales Assistant Customer Information Confidentiality Lawyers Executor Bank Fraud Rationale Taxes Margin Call Affiliate SAC CEO Research NoCA 10b-5 Termination securities industry commentator Irreparable Harm VIX Customers OIG Raiding Funds Rule 12504 Confidential Immunity Robert Cook HSBC AAA PN Pennystock Testing Wine Check Puts Michael King Appointments Clause MF Global Standing Unsuitable Charity Passcode Michael King Associates TSSB Biden Enforcement Hurry Sexual Harassment Article V Circuit Court Morgan Stanely Information Pennystocks Non Solicitation Trade Secrets ING TheBlot CMA 1Cir Dementia EIA Unregistered Wire Transfer Service Reg D Corruption Conflict Aleynikov Khuzami Cannabis Feigenbaum Churning Stanford Rosenthal Recruiting Bloomberg USERRA Bandimere fraud Banc of America Woody Allen Rule 13805 Phishing Federal Reserve High Frequency Trading Ketchum Day Trading Affinity Fraud Leggett Gensler White Saad Self Regulatory Organization David Sobel CDO Statement of Corrective Action Aguilar Constitution Motion to Compel Failure To Supervise Chase Investment Services Joint Account Absolute Immunity Laptop Mutual Fund Government Accountability Project Yesenia Guitron Guitron Beneficiaries Whitman FINRA Small Firm Parking Test Center Layering Chief Compliance Officer ACH Preliminary Injunction IM Stipulated Award JPMS Star Wars Bid Rigging Medical Condition EDNY Congress Rule 12212 Third Party Vendor Accounting DNJ Hester Peirce Conflict of Interest Argentina Commodities Fraud OCIE 6th Circuit Lincoln Financial FINRA AWC Superior Court Over Concentration Moon Wanger Death Poteroba NDCA Google FMLA TCR BrokeAndBroke Obstruction Eligibility McDuff Casino Written Supervisory Procedures 6Cir Kon Negligence Corzine 401k Consent Order Unauthorized Practice of Law Vault NPR Marketplace ICO Sarbanes Oxley Side Bar Rule 3310 Sharemaster Deferred Compensation Spoliation Marines Hearing Online PAQ Subpoena Finder\'s Fee money laundering Ride the Thunder Form ADV Rule 3030 Vietnam Hugh Hewitt Disability Teleconference Nietzsche AXA Morgan Stanley Smith Barney Relevant Disciplinary History Attorneys Fees Administrative Remedies Outside Account Smith Barney Amazon Talman Harris Marine Corps signature Finra Probate Honorarium Ethereum Trader Rule 9554 Penson supervision Rule 2430 FCPA Schneiderman Acosta Electronic Communications Escrow wrongful termination Subject Matter Jurisdiction Rule 21F BATS Crime Investor Alert Selling Away Arrest Control Person Gamification VXX Do Not Call Series 79 Extraordinary Circumstances Money Market Relevant Offset Copyright Resignation 11th Circuit Fee DMD Chevron Daughter Chiasson Sexual Discrimination Expert Witness Dell Withdrawals Confirmation State Actor Excessive Trading Civil Rights Inside Information Stockbroker Investment Adviser Data Arbitration Fines Gross Cold Spring Advisory Group Capital Gains TIC Rory Flynn Fowler Blank Forms Outside Counsel Privilege Female Rule 13504 For Cause Meals Tax Fraud Scottsdale Johnson YouTube NRF Kiting 17a-5 Commissioner Stein Restitution 401(k) Verbal Discretion Chase Bank Stop Loss Pruco Self Directed Client Information Annual Audit SD Oral Discretion Counterfeit ESOP LLC Inmate David Lerner RRBDlaw SIFMA Texting Puerto Rico Bonds Extortion Son Jennifer Tarr Rule 9216 Life Insurance Department of Justice FAP Outside Accounts Cantor Fitzgerald Book of Business Taft Correctional Institution Commodities FCI Guest Bloggers Regulation S-P Christian Stanley 40 Act Slander CGMI Rule 1031 Backstage Wall Street Fine Regulation Reverse Life Insurance NYG Capital Conflicts Disciplinary History Reform FCI Beaumont Revocation Trading wire fraud Thain Libel 10b-10 First Amendment Ethics Fifth Amendment Newport Coast Securities Obama BrokeAndbroker mail fraud Turnover Red Flags Scholander Elles OWWP Microcap Motion Timban Elder Law Hotel Falsification S&P Judgment CD FOCUS Respondeat Superior Pension Non Solicit Password SP Florida Netschi Default Equity Indexed Annuities Permanent Bar GameStop Hospital RICO Fiduciary Duty BrokerAndBroker.com 5Cir Moore elderly Prudential WaMu Wires Attorneys\' Fees Reuters NY Life Risk Title VII Settling Away Self Reporting Rule 2370 Audit Committee Vaccarelli Grievance State Farm Bill singer Fiero Bill Singer BrokeAndBroker DWI Kennedy Vungarala Purshe Kaplan Res Judicata Mantar RRBDLAW Theft Lee Kenneth Starr Rule 3210 Cybersecurity Tippee Bequest Covid-19 Tipper Silver securities fraud NML whistleblower Public Arbitrator Executrix Flash Drive Motiion to Acquit Evidence SEC Rules of Practice Schottenstein Section 1332 Jury Instructions Alcoholism Dylan Fidelity Brokerage Services Rule 13201 Galleon UIT Janney Montgomery Scott AI Non-Prosecution Agreement Lewis Carroll Vacate Pacifico Unauthorized Trades Office of Special Counsel BIll Singer Naskovets Skimming Back Dated Altered ACT! No Show Martoma Stipulation Father Last Known Address NFA Expense Tysk Diamonds NYLIFE Solomon Summary Judgment Rule 21F-17 Undertaking Turbeville Penalty Voya Eric Stein 9th Circuit Orders Stephen A. Kohn Harris Exception Reports Nasdaq Motion to Postpone Daspin JP Morgan Securities Constructive Discharge Branch Manager Lexicon PSRO God Margin Calls JPMorgan Chase In Connection With Principal Witness Tampering Sears Goble Zoom MBS Liu Berthel Fisher Sterne Agee Twitter Press Release Lek Income FNI Media Bob Dylan Frivolous BitTorrent Retroactive Statute of Limitation bank Women Transitional Bonus false statements Mistake Production Bonus Sharing Agreement Clayton Notice Training Impersonator NPI Rule 2330 College Guardian Success Fee Racial Discrimination Bartko BBVA NRSRO Collateral Bar Retroactive Bar Section 206 Traders Municipal Advisor Punitive Municipal Bonds ETFs Allocation Cherry Picking SDOH Apartment Checking Jon Corzine Dissident Currency In House Counsel Oilpro Quasi Governmental DRS Books and Records Preet Bharara Kent Non Compete annuities Pershing Reasonable Exhaustion Doctrine Ruder Task Force Mattera Romer Brokeandbroker.com FDA Sex Clearing Firm MSPB DDC Examinations Trainee Fee Rule 12511 Non-Solicit Laser Rule 420 Particularity EEOC Newbridge Life Settlement BrokeandBroker.com Mary Schapiro Merger CAT ALJ Grimes FINRA Eligibility Rule JAMS Well Managed Portfolio Forfeiture National Securities Promoter MDLA Obamacare Springsteen McCartney Merill Lynch Ecuador Securities and Exchange Commission Undercover Texas State Securities Board Exotic ETF ALJ Foelak Practice Sale Wages Hackers Criminal Disney Subway Prime Bank IBM Murray Altered Records Harassment insecurities aegis frumento reimbursement Molchatsky Initials Gifts ADR sexism Rule 144 8210 expenses House Financial Services Guardianship Travel Led Zeppelin Panama Dostoevsky QuadrigaCX Broy Rule 12104 GAP Rule 13104 Disparate Treatment Payroll William Faulkner Bribe Fraudulent Inducement Tax Advice Scam guest blog Reverse Merger Third Party Beneficiary ESG Tran Salman Proctor Series 66 Compliance Questionnaire guest blogger Hearsay Malice US Airways Investment Advisers Act Cellphone Citibank CMO Rules of Practice Countrywide Customer Files Financial Disclosure EB-5 Transfer EDPA Legend Arbitrator iPhone Reason for Termination Costa Rica Khan Bezos Dinner Capitalism Supervisor Law School Banks FTC Arbitrability Lorenzo Justice Binary Options Boyland Ten Commandments Nationwide HBO Wire Transfers Compromise Short Sale Securities America Blackbook Dow Diabetes Espionage Schumer Cryptocurrencies Preliminary Determination Coin Varney Fundacion Nicor Nicolas Corcione Spam Walter Powell SDCA FinCEN Kierkegaard Transamerica Personal Information Bank Secrecy Act Patriot Act Wells Fargo Advisors PHC Books And Records Stock Promotion Hertz Hurtado Excel SIPC Koval Bank Guarantee Liquidation Investacorp At Will Credit Repair Mary Jo White Compliance Officer Motion To Dismiss Deferred Prosecution Agreement Tesla AIG FINRA Foundation Fourth Amendment Gnomes South Park DPA Elon Musk Swaps Jay Clayton Retired Woman With Cane Game of Thrones Joint Production Wang Beatles Merrill Collateral Baby Boomers Anderson GME Court of Appeal Leveraged ETFs Burden of Proof Rule 13904 Cybercrime Tennis Court Advisor Placement Group Rule 13206 Confidential Customer Information Work Product 1099 Allstate Martin AWC. FINRA Gabelli Age Discrimination Mail ADEA Willfull Deceased Customer Hayden Production