An irreverent Wall Street Blog
by Bill Singer

TWO Explosive "Street Sweeper" Blogs Now Online

July 21, 2011

Street Sweeper by Bill Singer - Forbes.com

Bill Singer has posted two provocative
Street Sweeper blogs. 
Don't miss them!

WaMu Loses Solicitation Case Against Former Brokers

Wall Street professionals will find today's column of particular interest as it explores the ever-thorny issues of what constitutes an inappropriate "solicitation" of clients after you've left an employer.  In that context, you will read about Temporary Restraining Orders, Permanent Injunctions, and what the burden of proof is to prevail against former employees.  A must read for all registered persons: WaMu Loses Solicitation Case Against Former Brokers

Break Up the Securities and Exchange Commission

Don't forget to read and pass on to your colleagues, Bill's red-hot commentary responding to SEC Chair Schapiro's call for more staff and more funding. It's time that someone finally stood their ground and stood up against the burgeoning mess of runaway regulatory bureaucracy. Read: Break Up the Securities and Exchange Commission

Permalink

Search BrokeAndBroker

Related Topics

Previous Entries

Tag Cloud

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