Contact Bill Singer:  917-520-2836 rrbdlawyer@gmail.com
Broke And Broker Network
  • Home
  • Archive
  • Bill Singer's Resume
  • Securities Industry Commentator
  • Contact
An irreverent Wall Street Blog
by Bill Singer

Topic List for 1031 Exchange (2 results)

  • FINRA Arbitrator Recommends Multiple Expungements for Veteran Stockbroker
    May 14, 2018
  • Tax Exchange Ponzi Ends With $25 Million Hole And Criminal Pleas
    November 19, 2012

Search BrokeAndBroker

Previous Entries

  • 94 Days And Counting For FINRA's Independent Review Of Its Arbitration Selection Process
    May 23, 2022

    February 18, 2022 FINRA Press ReleaseNinety-four days ago, FINRA published: "FINRA Hires Firm to Conduct Independent Review of Arbitrator Selection Pr... Read On

  • BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
    May 21, 2022

    5Cir Issues Historic Rebuke Of SEC ALJ System (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6459/jarkesy-sec-alj/Congress has given the Secu... Read On

  • 5Cir Issues Historic Rebuke of SEC ALJ System
    May 19, 2022

    Congress has given the Securities and Exchange Commission substantial power to enforce the nation's securities laws. It often acts as both prosecutor ... Read On

  • FINRA Fines and Suspends Former Morgan Stanley Rep For Putting Compliance Cart After the Horse
    May 18, 2022

    At first blush, a recent FINRA AWC seems to be piling it on against a former Morgan Stanley rep over some silliness involving unapproved emails about ... Read On

  • Edward Jones Sued for $15 Million Over Book of Business
    May 17, 2022

    In "The Love Song of J. Alfred Prufrock," T.S. Eliot laments: "I have measured out my life with coffee spoons." In a recent federal lawsuit involving ... Read On

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


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.

  • Email: rrbdlawyer@gmail.com

  • Phone:917-520-2836

Media And Resources

  • Bill Singer's Resume
  • Press Room
  • RRBDLaw.com
  • BrokeAndBroker Blog
  • Securities Industry Commentator

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