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An irreverent Wall Street Blog
by Bill Singer

Topic List for 5cir (4 results)

  • 5Cir Issues Historic Rebuke of SEC ALJ System
    May 19, 2022
  • Federal Court Affirms Federal Jurisdiction in FINRA Arbitration Appeal
    September 17, 2020
  • UBS Wins FINRA Mandatory Arbitration Appeal
    October 26, 2018
  • SEC Takes On Federal Court In Dispute Over Whistleblower Interpretation
    August 14, 2015

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Previous Entries

  • 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

  • IN MEMORIAM: Tops Markets, Buffalo, New York Massacre
    May 16, 2022

    Out of respect forthe 10 deceased and three injured victimsat the Tops Markets, Buffalo, NY massacrethe "BrokeAndBroker.com Blog" suspends p... Read On

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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

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