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Securities Industry Commentator by Bill Singer Esq
December 26, 2023
Divorced Customer Sues Morgan Stanley Over Bond Purchases
October 25, 2023
JP Morgan Securities Ordered to Pay $1.4 Million in Damages in Unexplained Arbitration
September 21, 2023
Two Towering Dissents Against CFTC Order Involving Goldman Sachs
September 1, 2023
UPDATE: Bill Singer, Esq. Files Form TCR with SEC Seeking Investigation of FINRA Election Interference
August 29, 2023
SEC Chief Accountant Lays a Cobblestone on the Road to Hell Paved with Good Intentions
July 28, 2023
A Lawyer Wearing Two Hats Raises the Ire of the SEC in Motion to Compel Production of Documents
July 27, 2023
A Not So Final Closing of the Purchase of a Broker Dealer
July 26, 2023
Federal Court Says FINRA Arbitration Not So Lucid in the Sky with Diamonds
July 19, 2023
Lord Voldemort on Wall Street: When DOJ, SEC and FINRA Will Not Name Names
July 10, 2023
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
June 10, 2023
Wells Fargo Refuses Wife's Demand To Liquidate Joint Account and Send Her 50% of Proceeds
June 9, 2023
Federal Circuit Court Says Price Isn't Right In UBS Whistleblower Retaliation
June 7, 2023
Light Bulbs, Coffee Cakes, and FINRA's Regulation of Stockbrokers Designated As Estate Beneficiaries
May 25, 2023
Questioning if Alleged Harm Was Irreparable, Federal Court Denies TRO
May 23, 2023
FINRA Fines and Suspends Rep For Borrowing from Friend During Covid Pandemic
May 18, 2023
JP Morgan Caught In The Middle of Dueling Address Changes in Customers' Divorce
May 15, 2023
FINRA Board of Governors Fails to Confront Goldman Sachs $215 Million Gender Discrimination Settlement
May 10, 2023
SEC Says No Second Bite of FINRA Expungement Apple
May 9, 2023
Securities Industry Commentator by Bill Singer Esq
May 5, 2023
A Call for Boycott: FINRA Board of Governors' Cowardly Silence Becomes Thunderous
May 1, 2023
FINRA Arbitrator Dismisses 21 Year Old Claim Against Citigroup Global Markets
April 28, 2023
The Six-Year FINRA and SEC Regulatory Saga of Craig Scott Capital
April 26, 2023
FINRA Arbitrators Checkmate SunTrust With Punitive Damages for Misuse of Rep's Name and Picture
April 24, 2023
2Cir Remands to EDNY Disparate Sentence in Boiler Room Pumping
April 17, 2023
After Thanking Very Helpful Whistleblower, SEC Then Stabs The Tipster In The Back
April 12, 2023
FINRA Arbitrators Award Damages Against Morgan Stanley In Case Alleging Customer Lacked Mental Capacity
April 11, 2023
GUEST BLOG: [In]Securities: Wanting to Break Free: The Delaware Chancery Court Strikes Down Cantor Fitzgerald's Non-Compete Clauses by Aegis Frumento Esq
March 24, 2023
SEC Tells FINRA to Raise the Gate For Ineligible Expungement Case
March 23, 2023
Financial Professionals Coalition, Ltd Endorses Ronald Filler, Esq's FINRA Petition for Direct Registration Exam
March 21, 2023
A Form of Lunacy Has Overtaken the SEC
March 16, 2023
FINRA's Travesty of a Transamerica Settlement
March 13, 2023
GUEST BLOG: [In]Securities: No Silver Linings for Silver Edge: How Not to Sell Pre-IPO Funds by Aegis Frumento Esq
March 10, 2023
The Financial Professionals Coalition: Join Us Today
March 8, 2023
GUEST BLOG: [In]Securities: DOJ Rides a Horse with No Name: Rule 10b5-1 Plans Cannot be Fraudulently Misused
March 3, 2023
Federal Court Deems FINRA Absolutely Immune in Expungement Lawsuit
February 28, 2023
4Cir Remands SEC's Case To District Court For Some Old Fashioned Jury Muddling
February 27, 2023
TD Ameritrade Escapes $1.7 In Damages But An Advisor Gets Slammed by FINRA Arbitrators
December 29, 2022
TD Ameritrade Customer Sues Over Alleged Wrongful Margin Sell-Out
December 22, 2022
The Cyberfraud Prevention Fraud, The Impeded Whistleblowing, and The Dissenting SEC Commissioner
November 4, 2022
FINRA Cites RBC Capital Market's Supervisory Review, Personnel Turnover, and Outdated Tech
November 1, 2022
FINRA Taxonomy News Release Isn't Newsworthy
October 28, 2022
Accessing FINRA Test Center Launch Codes With Colonel Mustard
October 26, 2022
The Problem for A Merrill Lynch Registered Rep Seeking the Expungement of a Settled FINRA Arbitration
October 25, 2022
TD Ameritrade Customer Loses Incorrect Address FINRA Arbitration
October 24, 2022
Frustrated Interactive Brokers Customer Can't Get No Satisfaction With Tesla Order
October 21, 2022
The Disappearing Act of Elder Abuse in a TD Ameritrade FINRA Arbitration
October 6, 2022
BrokeAndBroker.com Hit With Second 2022 DMCA Takedown Notice After Prevailing in Same Dispute in 2020
September 16, 2022
Unsettling Settlement Puts FINRA's Board of Governors in Troubling Light
August 29, 2022
10Cir Reinstates in Part La'Tonya Ford's Retaliation /Hostile Work Environment/Constructive Discharge Claims Against Jackson National
August 24, 2022
Former Ameriprise Rep Files Lawyer Malpractice Complaint After Losing FINRA Promissory Note Arbitration
August 22, 2022
Barred Stockbroker Charged With Five Counts of Wire and Mail Fraud. Did Any Victim Do Any Due Diligence?
August 18, 2022
Equity And Justice Prevail In Breathtaking FINRA Expungement Award
August 1, 2022
GUEST BLOG: [In]Securities: They're All Here: The Three Circles of Securities Fraud Hell by Aegis Frumento Esq
July 22, 2022
Guest Blog: Fair Credit Reporting Act (FCRA) and Regulation S-P by Regulated or Aggrieved
July 11, 2022
GUEST BLOG [In]Securities: Highwaymen: The SEC Pulls Off a Brinks Heist by Aegis Frumento Esq
July 1, 2022
FINRA Report Refutes Court Finding of Fundamental Unfairness in Leggett Arbitration (With Updated Conclusion)
June 30, 2022
FINRA Arbitrators Hit Citigroup With $1.4 Million Damages For Discrimination, Harassment, and Retaliation
June 28, 2022
GUEST BLOG [In]Securities: Jive Talkin': The SEC Busts a Braggin' Broker by Aegis Frumento Esq
June 24, 2022
Who's Zoomin' Who in J.P. Morgan Securities FINRA Arbitration
June 14, 2022
Securities Industry Commentator by Bill Singer Esq
June 13, 2022
Former Sales Manager Barred By FINRA After Assistant Takes His CE Training
June 9, 2022
The Nightmare of a Dream Job on Wall Street
June 7, 2022
TradeZero, Meme Stocks, and High Dudgeon From the SEC
May 26, 2022
94 Days And Counting For FINRA's Independent Review Of Its Arbitration Selection Process
May 23, 2022
Wells Fargo Sues Over Transitional and Production Bonuses But Rep Fights Back
May 13, 2022
FINRA Torches Small Brokerage Firm Over Due Diligence Procedures
May 10, 2022
Securities Industry Commentator by Bill Singer Esq
May 5, 2022
To Err Is Human, To Forgive Is Not FINRA's Concern
May 4, 2022
Who Opened What Type of Account Becomes a Dilemma in E*Trade Federal Court Motion
April 25, 2022
Unhappy Customers Pull Out All the GameStops In FINRA Arbitration Win Against Charles Schwab
April 12, 2022
For a Second Time, Federal Court Says Price Isn't Right In UBS Whistleblower Retaliation
April 11, 2022
Arousing the Wrath of the Great and Powerful SEC and FINRA
March 28, 2022
No Good Deed Goes Unpunished As FINRA Sanctions Rep For Lending Money to Friend
March 3, 2022
Robinhood Hit With Damages in a Say-Nothing FINRA Arbitration Award
February 17, 2022
Customer Lawsuit Puts Robinhood In The News Again
February 15, 2022
SEC Director Calls Awkward Football Audible During Wall Street Gamification Bowl
February 14, 2022
Federal Court Can't Find Any Basis For FINRA Arbitration Decision In HSBC Managing Director Case
February 10, 2022
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
January 29, 2022
FINRA Fines and Suspends Barclays Analyst For Undisclosed Employment Offer
January 28, 2022
JP Morgan Securities' Regional Director's Affidavit Fails to Carry Day in TRO for Impermissible Solicitation
January 25, 2022
FINRA Fines and Suspends Rep Over Undisclosed Elderly Widow's Will Bequest
January 24, 2022
Securities Industry Commentator by Bill Singer Esq
January 21, 2022
A Bankruptcy, a Voluntary Dismissal, and a Death
January 20, 2022
California Court of Appeal Retains State Court Jurisdiction of BTIG Employment Retaliation Lawsuit
December 8, 2021
Veteran Stockbroker Sues For Unjust Termination Involving Sales Goals and Outside Business Activities
November 19, 2021
Federal Circuit Court Sustains Registered Rep's Conviction and Sentence of 90 Months
October 18, 2021
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
September 4, 2021
The SEC Is Asked to Go Back To The Future to Rewrite History
September 2, 2021
FINRA Fines and Suspends Rep Over False Attestations Involving an Elderly Widow's Beneficiary Designation
September 1, 2021
PIABA Wanted Live FINRA Arbitration (But Covid Had Other Plans)
August 19, 2021
Securities Industry Commentator by Bill Singer Esq
August 16, 2021
To Err Is Human. To Fine And Suspend Is FINRA
August 12, 2021
FINRA's Restricted Firm Rule: Two SEC Commissioners Toast the Sinking of the Titanic
August 2, 2021
FINRA Sanctions CCO/AMLCO Over Microcap Red Flags And Private Placement Disclosures
July 21, 2021
GUEST BLOG: Transitioning to Independence by Michael King of Michael King Associates
July 16, 2021
Angry Variable Annuity Customer Vexatiously Pursues His Legal Rights
July 6, 2021
FINRA Censures and Fines Citigroup Global Markets Inc. for Failed Supervisory System
June 17, 2021
All Along the Watchtower FINRA Defends Against the Invading Notaries
June 15, 2021
2Cir Affirms FINRA Arbitrators Award to Jefferies of $1 Million Liquidated Damages For Aborted Employment
June 7, 2021
Securities Industry Commentator by Bill Singer Esq
May 25, 2021
Securities Industry Commentator by Bill Singer Esq
May 13, 2021
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
May 8, 2021
GUEST BLOG [In]Securities: Mind Games by Aegis Frumento Esq
May 7, 2021
Former Raymond James Rep Wins One and Loses One in Employment Disputes
May 6, 2021
Federal Court Cites Confusion Of Ray Jay's Many Raymond Jameses
May 5, 2021
The Elderly Customer, The Will, The Stockbroker, The Complaining Brother, And The Post-Mortem Wires and Checks
May 3, 2021
PIABA Wants Live FINRA Arbitrations And Wants It Now
April 28, 2021
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
April 24, 2021
Wall Street Compliance Professionals Need FINRA Like A Heart Attack
April 22, 2021
The Trust, The Beneficiary, The Annuity, The Elderly Customer, and The Stockbroker
April 21, 2021
FINRA Enters Into Fair Settlement Involving Customer Loans and Outside Business Activities
April 20, 2021
When An Undisclosed Settlement Gets Disclosed to FINRA
March 29, 2021
The FINRA Investor Education Foundation Is A Lonely Hunter
March 24, 2021
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
March 13, 2021
GUEST BLOG [In]Securities: Singin' the Varsity Blues, Part 3: Walkin' That Lonesome Valley by Aegis Frumento Esq
March 12, 2021
Did You Hear the One About the Oligarch Money Launderer and Arms Dealer?
March 11, 2021
A Court Seems Unimpressed by Financial Exploitation of an Elderly Widow
March 10, 2021
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
February 20, 2021
An Elderly Grandma and Sister Who Wasn't and the New VA Beneficiaries
February 18, 2021
FINRA Expungement Takes on Aspects of a Psychiatric Case
February 2, 2021
A Modern Tale of Cybercriminals, Fake ID, and a FINRA Arbitration
January 25, 2021
GUEST BLOG [In]Securities: A Worried Song By Aegis Frumento Esq
January 22, 2021
Voya Racial Discrimination Case Sheds Harsh Light On Wall Street Mandatory Arbitration
January 11, 2021
FINRA Arbitrator Says It Wasn't UBS Fraud. It Was Covid
January 4, 2021
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
December 19, 2020
SEC Commissioner Peirce Sounds the Due Process Alarm In Response To FINRA Rule Amendment
December 15, 2020
Outrageous Romance Scam Earns Even More Outrageous Sentence
December 8, 2020
The LPL Stockbroker, The Customer Lawsuit, The Expungement Arbitration, and The SLAPP Lawsuit
December 1, 2020
GUEST BLOG: Bill Singer Talks To Industry Recruiter Michael King of Michael King Associates
November 19, 2020
FINRA Gives Rep the Business Over Personal Expenses
November 17, 2020
[In]Securities Guest Blog: Singing An American Tune By Aegis Frumento Esq
November 6, 2020
The Wells Fargo Manager's Wife's Signature on Mortgage Forms
November 5, 2020
DC Circuit Court Sustains SEC Orders Against Thaddeus North
October 27, 2020
Rep Sentenced to 90 Months in Federal Prison On 21 Counts
October 19, 2020
[In]Securities Guest Blog: Don't Know Much by Aegis Frumento Esq
October 9, 2020
Pro Se Customer Alleges Unsuitability of Self Directed Put Sales
October 5, 2020
Discovery Misconduct by FINRA Enforcement Prompts Tepid Response from Regulator
September 22, 2020
For FINRA, Relevant Is A Large Gray Pachyderm
September 9, 2020
UPDATE: E Pur Si Mouve, Idioti! (Or So An SEC ALJ Should Mutter)
September 8, 2020
[In]Securities Guest Blog: Take it Easy by Aegis Frumento Esq
August 13, 2020
UPDATE: FINRA Says Brokerage Fee An Undisclosed Commission
August 12, 2020
Dubious FINRA Study Finds Female Arkansas Prison Inmates Are Usually Poor and Financially Illiterate
July 24, 2020
FINRA Borrowing Rule Seems to Say What It Means But It Doesn't Actually Mean What It Says
July 22, 2020
[In]Securities Guest Blog: Good, Bad and Ugly by Aegis Frumento Esq
July 9, 2020
BREAKING NEWS: Seila Law LLC, Petitioner, v. Consumer Financial Protection Bureau (Supreme Court Opinion)
June 29, 2020
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
June 27, 2020
UPPER CASE MESSAGES!!! EXCLAMATION POINTS!!! AND A FINRA FINE AND SUSPENSION!!!
June 26, 2020
Gregory Acosta Hands FINRA an Earth Shattering, Precedent Setting, Historic, Stunning Defeat
June 24, 2020
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
June 20, 2020
Rep's Wife and Adult Children Named as Elderly Customer's Insurance Beneficiaries
June 16, 2020
Securities Industry Commentator by Bill Singer Esq at BrokeAndBroker.com
June 12, 2020
[In]Securities Guest Blog: Dear Prudence by Aegis Frumento Esq
May 21, 2020
FINRA Censures, Fines and Orders Restitution in Suitability Settlement
May 6, 2020
Federal Courts Consider Disturbing FINRA Customer Arbitration Decision
April 17, 2020
It Ain't Over Till It's Over As Martinovich Appeals Continue
April 10, 2020
[In]Securities Guest Blog: Hello In There by Aegis Frumento Esq
April 9, 2020
Registered Rep Goes Down for the Count -- All 21 of Them
April 1, 2020
Federal Courts Okay FINRA Unexplained Arbitration Decision
March 30, 2020
[In]Securities Guest Blog: Who's Zoomin' Who by Aegis Frumento Esq
March 19, 2020
[In]Securities Guest Blog: Not Going Back to My Old School by Aegis Frumento Esq
March 12, 2020
FINRA Arbitrators Award Damages To Customer But Offset With Award to Stockbroker
March 6, 2020
[In]Securities Guest Blog: A Political World by Aegis Frumento Esq
February 13, 2020
Down In the Dunes, Dealing With the Goons with SEC ALJ Foelak
February 11, 2020
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
February 1, 2020
FINRA AWC Cites Dubious Options Strategy In IRA Account
January 31, 2020
The Widow, Her Stockbroker, and Her Loans and Gifts to Him
January 29, 2020
FINRA Arbitrator Says It's Too Late To Turn Back Now
January 27, 2020
[In]Securities Guest Blog: Drunk on a Plane by Aegis Frumento Esq
January 16, 2020
Dismissed FINRA Arbitration Against JP Morgan Involves Horrific Backstory
January 10, 2020
[In]Securities Guest Blog: Born to be Wild by Aegis Frumento Esq
January 9, 2020
Raymond James Rep Can't Get No Non-Attorney Representative To Not Make No FINRA Arbitration Proffer
January 2, 2020
Fantasy Football Arrives To Wall Street and Freedom Is At Stake
December 30, 2019
[In]Securities Guest Blog: And So This Is Christmas by Aegis Frumento Esq
December 24, 2019
Funky Chicken Alters The Course of Wall Street Insider Trading
December 17, 2019
The Temptations of Collecting Data at the SEC
December 16, 2019
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
November 30, 2019
What If A Much of a Which of a Wind Gives the Truth to a FINRA Arbitration Lie?
November 26, 2019
He Fought The Law And The Law Won . . .Tied . . . Lost?
November 25, 2019
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
November 23, 2019
[In]Securities: Who'll Be Watching Whom? by Aegis Frumento Esq
November 21, 2019
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
November 16, 2019
FINRA Addresses Light Bulb and Coffee Cake Abuses
November 15, 2019
Featured in Today's Securities Industry Commentator
November 13, 2019
2 Pleas, 2 Federal Courts,1 Horrific Ponzi Scheme, and Lots of Lousy Wall Street Regulation
November 6, 2019
[In]Securities Guest Blog: The Man in the Long Black Coat by Aegis Frumento Esq
October 24, 2019
What's Olde Isn't Necessarily New in the Digital Age
October 22, 2019
Muni Rigor Mortis
October 21, 2019
Does Your Brokerage Contract Bite?
October 9, 2019
Guest Blog: Merrill Lynch Production Policy Causes Age Discrimination by Jerry Marks, Esq
October 7, 2019
FINRA Bars Rep Who Knew Someone
September 27, 2019
Client Associate Takes 4 Years of Rep's CE
September 24, 2019
[In]Securities GUEST BLOG: Hit the Road, Jack by Aegis Frumento Esq
September 19, 2019
FINRA Bars NYLIFE Rep Over Debit Card Expenses
September 6, 2019
FINRA Puts Lime Brokerage in the Self-Regulatory Coconut
August 21, 2019
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
August 17, 2019
FINRA Conducts Retrospective Rule Review on Senior Investors
August 12, 2019
District Court Denied Morgan Stanley Injunction In Non Solicitation Case
August 9, 2019
Anonymous Tip to FINRA's Securities Helpline for Seniors Gets Stockbroker Barred
July 31, 2019
SEC Task Force to Host Roundtable On Elder Fraud (Coffee and Danish Will Be Served, Maybe)
July 23, 2019
GUEST BLOG: What Can We Do To Increase Diversity? by Linde Murphy
July 19, 2019
Former LPL Stockbroker Suspended and Fined For Customer Borrowing
July 9, 2019
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
June 29, 2019
Court of Appeal Vacates Morgan Stanley Elder Abuse Award in Troubling FINRA Arbitration
June 25, 2019
Seller's Remorse Upends Investment Firm Sale In FINRA Arbitration
May 8, 2019
GUEST BLOG: Acts of Code by Aegis Frumento Esq
May 2, 2019
GUEST Blog: The Strangled Cries of Lawyers in Love by Aegis Frumento Esq
April 18, 2019
Sonny Corleone At the Toll Booth: A Study of a FINRA Email Review Settlement
April 16, 2019
Court Suspends Former NYSE Arbitration Counsel and FINRA Arbitrator
April 10, 2019
Death Craps Out With Viatical Settlement Dice
April 9, 2019
SEC Scheduling Order: The Nuts and Bolts of Trying Your Case
April 5, 2019
SEC Prays for Relief in Complaint Against the Church for the Healthy Self
March 19, 2019
FINRA Finds (AGAIN!) That Ameriprise Stockbroker Altered and Concealed Evidence in Customer Arbitration
March 13, 2019
Stockbroker Only One Call Away From FINRA Fine and Suspension
March 1, 2019
Legal, Regulatory, and Compliance Feed For Wall Street Professionals and Serious Investors
January 23, 2019
Expungement Ten Years in the Making For Merrill Lynch Stockbroker
January 22, 2019
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
December 15, 2018
The Failure of Wall Street Compliance and Regulation: A Case In Point
December 12, 2018
FINRA Rule 8210 Demands End With Stockbroker Bar
December 10, 2018
Two Deceased Customers,Their Stockbroker, A POA, A TOD Account, And a Bar
December 3, 2018
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
December 1, 2018
Son Calls FINRA Senior Helpline About Trading In Mom's Account
November 27, 2018
GUEST BLOG: A Pulitzer Prize for Risk Disclosures? by Aegis J. Frumento Esq
November 8, 2018
Gregor Samsa Awakes As A FINRA Unnamed Party
November 2, 2018
GUEST BLOG: The Invisibly Vulnerable Pre-Retirees by Aegis Frumento
October 11, 2018
The Securities Industry Commentator, a daily Wall Street legal, regulatory, and compliance feed
September 19, 2018
Stockbroker An Unintended Bystander Victim In Drive-By Customer Complaint
September 10, 2018
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
September 8, 2018
FINRA Ends the Beguine But Did It Begin the Beguine?
September 5, 2018
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
August 11, 2018
Where There's A Will, FINRA Says No Way!
August 9, 2018
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
August 4, 2018
The 93 Year Old Customer with Dementia, The Guardian, The Stockbroker, and the Compliance Officer
July 30, 2018
UPDATE:Non-Attorney Representatives Involved In FINRA Arbitration Blight
July 23, 2018
BrokeAndBroker.com Blog by BIll Singer Esq WEEK IN REVIEW
July 21, 2018
87 Year Old Stifel Nicolaus Customer, His Stockbroker, and 33 Blank Account Checks
July 17, 2018
Stockbrokers Victimized by Customer Imposter and FINRA Fees and Charges
July 10, 2018
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
June 30, 2018
The Elderly Wife, The Husband, and The Transfer on Death Account
June 27, 2018
SEC Chairman Jay Clayton: The Devil We Know Champions Main Street
June 22, 2018
Batting 500 In FINRA Expungement
May 23, 2018
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
May 12, 2018
The Gambling Stockbroker, His Elderly Customers, and Their Loans to Him
May 10, 2018
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
April 14, 2018
LPL, RR, BD, IRS, U5, FINRA, and AWC
April 10, 2018
Body and Estate and Soul and a Counterfeiter and a Murderer and Merrill Lynch
March 28, 2018
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
March 17, 2018
Disturbing FINRA Settlement Involving Elderly Client With Dementia
March 13, 2018
BrokeAndBroker.com Blog by Bill Singer ESQ WEEK IN REVIEW
March 3, 2018
Non-Attorney Representatives Involved In FINRA Arbitration Blight
March 1, 2018
Class A Mutual Fund Front-End and FINRA Back-End
January 3, 2018
FINRA Arbitrator Holds Public Customer Claimant In Contempt
December 13, 2017
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
December 2, 2017
FINRA Suitability Settlement Involves Five Elderly Retired Morgan Stanley Customers
November 27, 2017
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
November 11, 2017
97 Year Old Client Names Stockbroker Executor and Beneficiary
November 10, 2017
Federal Appeals Court Deems FINRA Deputy of the Federal Government
November 6, 2017
FINRA Suitability Rule and the Unsophisticated Investor
October 23, 2017
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
October 7, 2017
SEC Rejects Stockbroker Appeal of 2006 NASD Bar
October 5, 2017
FINRA Borrowing Settlement Involves Friendly 96 Year Old Customer
October 4, 2017
BrokeAndBroker.com Blog by Bill Singer, Esq. WEEK IN REVIEW
September 23, 2017
Starship Enterprise, Lone Ranger, Tonto, Silver, Pumpkin Spice Latte, And FINRA Settlement
September 18, 2017
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
September 16, 2017
The Elderly and Blind Customer, The Stockbroker, The Joint Account, and 2 Apartments
September 14, 2017
Veteran Sues USAA Investment Mgmt Over Alleged Mental Disability
September 7, 2017
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
July 22, 2017
Elder Abuse Allegations Arise In Wedbush Arbitration
July 20, 2017
Wall Street Whistleblower Johnny Burris Speaks Truth to Power
June 30, 2017
FINRA Buries the Lede With FAS Rep Settlement
June 26, 2017
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
May 20, 2017
The Elderly Edward Jones Client, His Account, His Will, His Stockbroker, and The Broker's Wife
May 15, 2017
Casino Bets Fade Investors Retirement Savings
April 5, 2017
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
March 4, 2017
FINRA, Wells Fargo, and the Victimized 93 Year Old Investor
February 28, 2017
Sharemaster, Howard Feigenbaum and Johnny Burris Battle Wall Street's Goliaths
February 20, 2017
Sharemaster Becomes the Beastmaster of FINRA and SEC
February 17, 2017
The Will, Disabled Aunt, Stepkids, Executor Nieces, And Stockbroker
February 14, 2017
FINRA's JP Morgan Challenge: Will the Self Regulator End Its Hypocrisy?
January 24, 2017
SEC Settles 3 RIA Referral Fees Cases
January 11, 2017
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
November 26, 2016
Bogus Stockbroker Gets 15 Years In Prison For Elder Fraud
November 22, 2016
Merrill Lynch Defamation Ruins Stockbroker Career
November 9, 2016
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
November 5, 2016
Dementia At Issue In Wells Fargo Arbitration
November 2, 2016
Feds Charge Alt-Fuel, All Electric Company Simply Old Fashioned Hot Air Stock Scam
August 29, 2016
The Stockbroker, Her Cancer Patient Friend and Customer, And The Estate Complaint
August 10, 2016
FINRA Publishes Mitigation Statement in Elderly Client Conversion Case
May 23, 2016
Oh!!! Unauthorized Trading, Patti O'Furniture, And FINRA's BrokerCheck
March 3, 2016
Customer Gifts Shares To UBS Broker. FINRA Gifts Fine and Suspension to Rep
February 24, 2016
Oral Discretion Isn't Worth The Paper It's Not Written On
February 19, 2016
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
December 19, 2015
SEC Says Senior Citizen Fraudster Preyed On Elderly Victims
December 17, 2015
The Merrill Lynch Stockbroker, the Deceased Mom, Her Son, And Transfer On Death
December 14, 2015
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
November 21, 2015
$4.6 Million Elderly Ponzi Shell Game Ends With SEC Settlement
November 16, 2015
Echoes of A Stockbroker's Mind For A Hacker On A Wire
November 9, 2015
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
November 7, 2015
Grandparents Victimized In Narcotics Bail Scam
November 6, 2015
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
October 31, 2015
Blank Checks From Elderly Couple Checkmate Stockbroker's Career
October 30, 2015
Morgan Stanley Client Service Associate Trips Over Wire Request
October 8, 2015
7 Year Arbitration Saga Ends In Ashes For Public Customers
August 13, 2015
UPDATE: SEC Derails Scam Train On Trading Platform
June 15, 2015
Stockbroker Impersonates Customers During Phone Calls
June 11, 2015
FINRA Says Charity Does Not Begin At Home
May 28, 2015
SEC Derails Scam Train On Trading Platform
April 13, 2015
BrokeAndBroker.com by Bill Singer WEEK IN REVIEW
April 4, 2015
The 100 Year Old Beneficiary, The Stockbroker Trustee, And The Current Former Customer
April 1, 2015
Some Men The SEC Just Can't Reach
March 25, 2015
Is FINRA Actin' Kinda Shady In Naming (Or Not) Banks?
February 5, 2015
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
January 31, 2015
Elderly Sugar Daddy, His Young Thing, And His Banker / Broker
January 30, 2015
Wells Fargo Associate Duped By Email Scam
January 28, 2015
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