An irreverent Wall Street Blog
by Bill Singer

RRBDLaw.com: New FINRA Cases Analyzed by Bill Singer

January 21, 2010

Regulatory lawyer Bill Singer has analyzed and posted the latest crop of FINRA disciplinary cases.  Frankly, it's not a pretty sight.  As the Great Recession's shocks and aftershocks are felt, many Wall Streeters seem to be feeling a personal financial pinch -- and their means of self-help are often at the expense of others. 

Consider some of these more troubling revelations:

ABOUT: BrokeAndBroker.com and RRBDLaw.com lambaste the ineffective regulation of Wall Street and advocate for the rights of defrauded investors, independent/regional firms, and individual registered persons. Provocative commentary by veteran regulatory lawyer Bill Singer.

See Bill's online resume at http://rrbdlaw.com/bios_singer.html

Media Contact:

(917) 520-2836

rrbdlawyer@aol.com

VISIT WALL STREET'S LEADING ONLINE COMMUNITY
BrokeAndBroker.com

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