An irreverent Wall Street Blog
by Bill Singer

Archive

(2508 entries)

Search BrokeAndBroker

Previous Entries

Tag Cloud

Bill Singer BrokeAndBroker FINRA Arbitration AWC SEC BrokerAndBroker Expungement Guest Blog Guest Blogger Aegis Frumento OBA Wells Fargo U5 BrokeAndBroker CRD InSecurities OHO Email Defamation U4 Morgan Stanley NAC ALJ BrokerCheck Merrill Lynch PST Whistleblower Supervision Statutory Disqualification Rule 3270 DOJ Suitability Promissory Note SDNY Securities Industry Commentator Rule 2080 Elderly Willful Rule 2010 OIP WSP Pro Se Form U4 Wire Fraud EFL UBS Rule 8210 Expenses Form U5 RIA Dodd Frank Stephen Kohn Discretion Business Expenses TRO Rule 1122 Bar Willfulness IRS Wife Bank JP Morgan Discovery Trump Fraud Ameriprise Husband Bill SInger NASD FAA Borrowing Small Firm Conversion Rule 3240 Crypto Margin Supreme Court Edward Jones Wrongful Termination Raymond James CCO 2Cir IRA Rule 3280 Insurance Estate Frumento Outside Business Activities Corrective Action Statement Stay Punitive Damages Mail Fraud arbitration Rule 12206 Beneficiary Promissory Notes LPL Customer Bankruptcy Tax COVID Commissions Schwab Citigroup Remand Felony Options Explained Decision Motion to Dismiss Case In Point TD Ameritrade Trust OWB ACQ Settlement CFTC Rule 3040 Retaliation Injunction Rule 4511 Sanctions Initial Decision OTR Blockchain Tax Liens BrokeAndBroker.com Jurisdiction Spouses Rule 2510 Ponzi DCCir Discrimination 9Cir Rule 4530 Motion to Vacate Burris Due Diligence Offer of Settlement Unsuitability Reg SP Mandatory Arbitration Eligibility Rule Unauthorized Discretion Outside Business Activity SRO Forgery Wall Street Solicitation Personal Expenses Insider Trading Rule 12200 FBI Manifest Disregard Private Securities Transaction Goldman Sachs Barclays CRS NYSE Annuities Failure to Supervise Checks Rule 3010 Board FINRA Board Cease And Desist Compliance email 10Cir PCAOB ETF Conspiracy Trustee Loan Dissent Bank of America Class Action Disgorgement Fiduciary Broker Protocol AML Rule 9552 Divorce Zipper Liens expungement Reimbursement T&P Unfair Competition Annuity Impersonation Rule 3110 IAR Board of Governors VA Spouse Credit Card Tax Lien Customer Complaint Cryptocurrency Power of Attorney Spoofing Away Account Appeal Due Process Complaint Kokesh SDFL MC-400 POA Indemnification Lucia Willfully Rule 12904 Coronavirus Bitcoin JPMorgan Wey Emails Lien BD Retirement 4Cir Brummer HFT Net Capital Signature Rule 2111 Public Interest Securities Fraud Vacatur CMA Racism Dakota Securities Rule 12805 Postponement Indictment Breach of Contract Antitrust Exhaustion of Administrative Remedies Covid Test BOP 3Cir Elder Abuse Unauthorized Trading REIT Severance Fees Sanction Guidelines Motion to Confirm PNC RR Hilton Weiner Marijuana WSPs Wire PIABA Rule 2150 Stifel Nicolaus BrokeAndBroker.com Blog Sexism Employment Examination Whistleblowing Widow Robinhood Bureau of Prisons Rule 3050 guest blog NASDAQ OIG Money Laundering Gensler Suspension Disclosure insecurities Private Securities Transactions aegis frumento Deceased Deutsche Bank Statute of Limitations guest blogger 11Cir Preliminary Injunction Will Unsuitable Great Recession DOL Puts Registration OSHA Puerto Rico NoCA TOD Charles Schwab Whistleblowers Audit Hacking Mortgage 1Cir Small Firm Governor Unjust Enrichment Stifel Self Regulation Enforcement Botkin Credit Suisse Rule 13200 Rule 2081 Membership Continuance Leggett Bonds Statutory Disqualification Committee Loans Confidential Information Elder Fraud Margin Call Misdemeanor Non Solicitation Apple CPA Commission Mutual Funds Rationale Website Rule 4513 JPMS Diversity Absolute Immunity TCR Rule 13805 Rule 12504 JPM Undisclosed Settlement Feigenbaum Away Accounts Rule 2210 Cannabis Statement of Corrective Action NDCA Annual Compliance Questionnaire WB-APP Sarbanes Oxley Pennystocks Testimony Spoliation Written Supervisory Procedures Real Estate AAA Bonus Mother Test Center Exam Johnny Burris securities industry commentator Immunity Scottrade 9/11 E*Trade Robert Cook Restitution Inability to Pay Appointments Clause Finra Newman Standing Biden RBC Michael King Associates money laundering TheBlot DNJ Form ADV Michael King Rule 9554 Sexist Passcode Irreparable Harm Imposter Hurry supervision Arbitraiton FINOP Affiliate Solicited Tortious Interference Variable Annuities BrokeandBroker Excessive Trading Compensation Bandimere CEO Concentration IPO Variable Annuity Waiver Reg S-P Signatures Self Directed Mutual Fund Social Media Information Government Accountability Project Yesenia Guitron Facebook NSF FINRA Small Firm Check Kiting BrokeAndBroker Bill Singer Continuing Education Guitron Lawyers Administrative Remedies Conflict of Interest 5Cir Whitman Sexual Discrimination PAQ Ethereum Internet Customers Pennystock RICO Sexual Harassment Beneficiaries Trading Platform Star Wars Trade Secrets Wachovia Medical Condition Wanger Stipulated Award Termination Hester Peirce Extraordinary Circumstances brokeandbroker High Frequency Trading Non-Solicitation Cheating Circuit Court State Actor Testing Unsolicited Extraordinary Cooperation Debit Card Motion to Compel Research Rule 3310 Superior Court Marine Corps FMLA Flash Crash Series 7 6Cir Default Rule 3030 Churning Rule 12212 Hearing Boycott Subpoena Marines Confidentiality Constitution Customer Information Service SunTrust VIX McDuff Employment Agreement Talman Harris Vietnam Ride the Thunder Saad Taxes Kon IM RMBS Life Insurance NRF Hugh Hewitt ICO ATM DMD ADA Consent Order 10b-5 Funds Sharemaster EDNY Wedbush Honorarium Relevant Disciplinary History Fidelity Obstruction Confirm Attorneys Fees EEOC Scholander Forex Prudential Client Information SP Falsification Revocation fraud Fiduciary Duty FOCUS BrokeAndbroker Disciplinary History Probate Commodities Fraud Regulation SP FNMA Capital Gains Pension Interactive Brokers Rory Flynn FINRA AWC Shah Gilani WBAPP Charity OWWP Lawyer Private Placement Federal Reserve Peirce Offset Puerto Rico Bonds Res Judicata Rule 13504 Rule 21F Penalty Third Party Vendor ARS Withdrawals securities fraud wire fraud mail fraud Rule 13104 Rule 2430 Amazon 40 Act Unauthorized Practice of Law Tesla Oral Discretion Time And Price Embezzlement Verbal Discretion Self Reporting Crime Death Securities America Libel Jennifer Tarr LLC Cold Spring Advisory Group Liquidation Elder Law First Amendment Over Concentration Respondeat Superior Hedge Fund Subject Matter Jurisdiction Form TCR OCIE FCI Beaumont FCI Guest Bloggers WhatsApp Control Person EDPA bill singer FAP For Cause Oppenheimer Texting Civil Rights SD Expert Witness Joint Account Newport Coast Securities Taft Correctional Institution Obstruction of Justice DCO Scottsdale Dementia Acosta Christian Stanley Reverse Life Insurance Layering Conflict Permanent Bar NY Life Check Transamerica NYG Capital MSSB Bear Stearns ACH GameStop Lehman 17a-5 Non Solicit Son CDO Leveraged ETF Executor Morgan Stanely Annual Audit Counterclaim Gamification Arbitration Privilege Chevron Outside Counsel Slander Rule 1210 Relevant Financial Professionals Coalition JP Morgan Securities Pruco Google Zoom Book of Business Blackbook Turnover Deferred Compensation Financial Disclosure Teleconference Vungarala 10b-10 LIBOR DRS Rule 3210 Expulsion Motion to Compel Arbitration Fine Reason for Termination Finder\'s Fee ESOP Stephen A. Kohn Pham Section 1332 Calls Nationwide Kierkegaard Schottenstein Purshe Kaplan Daspin Private Placements ADR Compliance Questionnaire Negligence Title VII Powell Discharge AXA Credit Cards ESG Traders Fernandez Rule 9216 ALJ Grimes Fraudulent Inducement Trade Practices Rule 13212 Fundacion Nicor Rule 13904 Success Fee AMC Nicolas Corcione Orders Hotel GAP Unregistered Tennis Court Retired Woman With Cane Panama Rule 2330 Rule 1031 Rule 13201 Motion to Exclude Confidential CD Apartment Court of Appeal Third Party Beneficiary VXX JOBS Act Equity SDOH GME HSBC Books and Records Salman In House Counsel Ruder Task Force MAP Last Known Address Pershing In Connection With Retroactive Retroactive Bar Rule 144 FNI Media Communications Election Constructive Discharge Collateral Bar Mantar Declaratory Judgment Rule 2140 Bartko Municipal Advisor NRSRO Audit Committee Trading DDC ACT! SLUSA Particularity Sharing Agreement Deceased Customer Charge Tysk Altered Johnson Trader Rule 12104 Motion Back Dated Accounting Reg SHO Investment Advisers Act AWC. FINRA Ethics Self Regulatory Organization NFT Gross DMCA false statements Exception Report Non-Disclosure SDCA JAMS Rule 13206 Tax Advice Joint Production PSRO Harris Dostoevsky Principal Municipal Bonds ETFs Exemption Covid-19 Ruemmler elderly TradeStation Newbridge Fidelity Brokerage Services NYLIFE EDVA CNBC Income Bezos No Show Series 79 Motion to Postpone Currency Berthel Fisher FOREX Electronic Communications Capitalism Jury Instructions Alcoholism Kent Ecuador Cherry Picking Allocation Game of Thrones Oilpro Risk FINRA Foundation MDLA Jay Clayton Sterne Agee wrongful termination Witness Tampering Production Vaccarelli JPMorgan Chase Motiion to Acquit Reg D Hayden Howey Burden of Proof CE Exhaustion Doctrine Punitive Guardian Broke And Broker Disability Regulation NPI Confirmation AI Bequest Led Zeppelin Daughter whistleblower Judgments Harassment Rule 12511 LOA Hacker S&P SIE Reasonable UIT Clearing Firm Private Actor Crowdfunding finra annuities Clayton Disparate Treatment Elon Musk PN Restaurant SIFMA Exotic ETF Romer Article V Non-Solicit Public Arbitrator College Lexicon Data Rule 420 Nietzsche Initials Voya Microcap Investment Adviser ALJ Foelak Quasi Governmental Solomon Expert Non Compete MSPB Cryptocurrencies Notice Production Bonus Transitional Bonus Promoter Wires Section 206 Grievance Escrow reimbursement sexism Unauthorized Trades Undertaking Rule 21F-17 Stipulation expenses Meals defamation Confidential Customer Information Perjury YouTube Lorenzo Fee Ten Commandments Mistake Cantor Fitzgerald Chief Compliance Officer Willfull TSSB Bob Dylan Day Trading Kiting DAO Telephone Office of Special Counsel QuadrigaCX Exception Reports APA Lek Shotgun Pleading NMS Bill singer