An irreverent Wall Street Blog
by Bill Singer
No Blog entries Found

Search BrokeAndBroker

Related Topics

    No categories presently defined

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


About Bill Singer

BILL SINGER is a lawyer who represents securities-industry firms, individual registered persons, Wall Street whistleblowers, and defrauded public investors. For over three decades, Singer has represented clients before the American Stock Exchange, the New York Stock Exchange, the Financial Industry Regulatory Authority (formerly the NASD), the United States Securities and Exchange Commission, and in criminal investigations brought by various federal, state, and local prosecutors. He has the distinction of representing witnesses during Congressional investigations. In 2015, Singer achieved a significant award in excess of $1 million from the Securities and Exchange Commission on behalf of a whistleblower client.

Singer is presently Of Counsel to a law firm and the publisher of the Securities Industry Commentator feed and the BrokeAndBroker.com Blog, which was rated as one of the industry's top eight destination websites and the leading legal/regulatory blog by "Investment News."

Before entering the private practice of law, Singer was employed in the Legal Department of Smith Barney, Harris Upham & Co.; as a regulatory attorney with both the American Stock Exchange and the NASD (now FINRA); and as a Legal Counsel to Integrated Resources Asset Management. Singer was formerly Chief Counsel to the Financial Industry Association; General Counsel to the NASD Dissidents' Grassroots Movement; and General Counsel to the Independent Broker-Dealer Association. He was registered for a number of years as a Series 7 and Series 63 stockbroker.

Singer regularly appears as a commentator on television and radio, and is frequently quoted in the press. He is an outspoken critic of ineffective regulation and an advocate for economic and political sanity.

Media And Resources

Subscribe

Please enter your email address below if you wish to subscribe to Bill Singer's mailing list.

RRBDLAW.com & Securities Industry Commentator™ © Copyright 1998-2022 Bill Singer | Third party Trademarks, graphics, and/or content are the property of their respective owners.
Advertise | Privacy Policy | Legal Notice | Cookies