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 Customer Information (9 results)

  • FINRA Fines and Suspends Rep for Unauthorized Transfer of 270 Customers' Info
    July 16, 2019
  • Another Day. Another FINRA Regulatory Settlement. Another Case Involving Who Owns the Customer
    May 31, 2019
  • A Hard Rainmaker Gonna Fall At FINRA
    January 12, 2018
  • Rep Emails Self 1,300 Account Numbers And FINRA Comes A Knockin'
    January 9, 2018
  • Delayed Resignation,Twitter,and Email Get Stockbroker Fined and Suspended
    October 26, 2017
  • FINRA Settles With Merrill Lynch Rep Who Tried To Sell Customer Information
    April 11, 2017
  • Bill Singer Analyzes FINRA Expungement Rules 2080 and 2081
    March 27, 2017
  • SEC Cites Stockbroker Over Confidentiality of Inherited Accounts
    March 2, 2016
  • What A Long Strange Trip It Was For Customer Files
    November 7, 2013

Search BrokeAndBroker

Previous Entries

  • BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
    April 1, 2023

    GUEST BLOG: [In]Securities: The Influencers: The SEC Grounds Stars' TRX  by Aegis Frumento Esq (BrokeAndBroker.com Blog) https://www.brokean... Read On

  • GUEST BLOG: [In]Securities: The Influencers: The SEC Grounds Stars' TRX by Aegis Frumento Esq
    March 31, 2023

    [In]Securities a Guest Blog by Aegis J. Frumento, Partner, Stern Tannenbaum & Bell The Influencers: The SEC Grounds Stars' TRX Supposedly,... Read On

  • FINRA Shamefully Fines and Suspends Rep For Mistakenly Using A Rep Code
    March 29, 2023

    I make mistakes. You make mistakes. We all make mistakes. It's part of what makes us human. In a recent regulatory settlement, FINRA concedes that a... Read On

  • FINRA Doesn't Bank On It When It Comes To Wife Of Former UBS Employee
    March 27, 2023

    A former UBS rep sued his former UBS investment adviser brokerage firm. Also, the former rep sued UBS Bank. The Bank didn't file an Answer or appear i... Read On

Tag Cloud

Bill Singer BrokeAndBroker FINRA Arbitration AWC SEC Expungement BrokeAndBroker.com BrokerAndBroker Guest Blog Employment Guest Blogger Wells Fargo Street Sweeper Aegis Frumento Bill SInger Jobs OBA U5 Fraud Promissory Note U4 Email Merrill Lynch Morgan Stanley UBS CRD Defamation EFL Wire Fraud InSecurities Elderly BrokeAndBroker Statutory Disqualification OHO Whistleblower Suitability NAC PST Forbes FBI DOJ ALJ Ponzi Rule 3270 Supervision Citigroup BrokerCheck IRS Form U4 Borrowing SDNY OIP Expenses Willful Supreme Court Pro Se Outside Business Activity Bank Rule 8210 Securities Industry Commentator Felony Ameriprise Rule 2080 Dodd Frank WSP Discretion Rule 2010 Wrongful Termination Form U5 Discovery IRA Wachovia RIA Raymond James JP Morgan Insider Trading Mail Fraud Business Expenses Bar NASD Wife Conversion Punitive Damages Husband Bankruptcy CCO Rule 1122 Edward Jones TRO Stephen Kohn Checks Settlement Forgery Margin Rule 3240 Tax arbitration Estate Willfulness LPL Trump Commissions 2Cir Schwab Employment Tuesday NYSE Wall Street Credit Card Outside Business Activities Madoff Promissory Notes Small Firm Corrective Action Statement Beneficiary Rule 3040 FAA Insurance Frumento Private Securities Transaction CFTC Annuities Options Injunction Impersonation Bank of America Tax Liens Rule 3280 Facebook Antitrust Due Diligence Real Estate Customer Indictment Power of Attorney Trust ETF Tax Lien Exam Rule 12206 Stay Remand Crypto Spouse Test Offer of Settlement Retaliation Street Legal SRO TD Ameritrade OWB Mortgage ATM Goldman Sachs Barclays Signature Annuity Complaint OTR Away Account COVID Trustee Securities Fraud Misdemeanor Solicitation NASDAQ Eligibility Rule Case In Point Jurisdiction Explained Decision ACQ Schapiro email Sanctions Motion to Dismiss VA Discrimination Rule 2510 POA Wire Reg SP Appeal Loan Blockchain Initial Decision Lien Rule 4511 Unauthorized Discretion ARS Spouses DCCir NSF E*Trade Conspiracy T&P Money Laundering Burris Fidelity Rule 4530 Employee Forgivable Loan Rule 12200 Mandatory Arbitration Liens 9Cir HFT JPMorgan AML Unsuitability Bonus Cease And Desist PCAOB Unfair Competition Retirement Class Action Compliance CRS RBC Signatures Motion to Vacate Deutsche Bank Failure to Supervise NASAA Flash Crash Great Recession Continuing Education Personal Expenses Fiduciary Manifest Disregard Reimbursement Dissent expungement Rule 3010 REIT LOA Huffington Post FINRA Board Hacking Divorce Undisclosed Settlement Willfully Credit Cards Due Process Scottrade 10Cir Chase Broker Protocol Vacatur Severance Customer Complaint Disgorgement Sexist Bharara Malware Lehman Brothers Indemnification Unauthorized Trading Bitcoin IAR Rule 3050 Disclosure Fees Gallagher brokeandbroker Rule 3110 Social Media Deceased RRBDLAW.com Spoofing Cryptocurrency MC-400 Sexism Identity Theft Hacker BD Board Variable Annuity MSSB Internet Will Registered Rep Magazine SDFL Away Accounts Apple Emails LIBOR Stockbrokers Zipper Solicited Wey 4Cir employment Loans Stifel Private Placement Trading Platform Coronavirus Letter of Authorization Forex Website Kokesh Elder Abuse Variable Annuities Commission Examination Widow Lucia Statute of Limitations Self Regulation Annual Compliance Questionnaire Wedbush Rule 9552 FINRA Arbitration Audit jobs Gensler Exhaustion of Administrative Remedies BrokeAndBroker Bill Singer Waiver 2nd Circuit Charles Schwab WSPs Prison Brummer Credit Suisse BOP Lehman Breach of Contract Registration PIABA Rule 12805 Public Interest PNC Confidential Information Dakota Securities OIG Net Capital Rule 2150 Rule 2111 Rule 12904 3Cir Postponement RMBS Private Securities Transactions Second Circuit Crowdfunding Unsolicited FINOP Hedge Fund Bonds Arbitraiton Judgments bill singer Non-Solicitation Bureau of Prisons Sanction Guidelines Time And Price Debit Card ADA Telephone aegis frumento Motion to Confirm Series 7 IPO NYAG TOD Rule 13200 Unsuitable Whistleblowing FOREX Margin Call Bear Stearns BrokeAndBroker.com Blog Robinhood Cheating Morgan Keegan Suspension RR IC3 Newman Plea Diversity MetLife Hilton Weiner guest blog insecurities guest blogger CMA Unjust Enrichment JPM RRBDlaw.com BrokeandBroker CE Imposter Marijuana China Finra Rule 2210 Regulation SP Piwowar Auction Rate Securities Whistleblowers NDCA Leggett Embezzlement Rakoff Charge Racism WB-APP Raiding TCR CPA Concentration NoCA Elder Fraud Testimony 1Cir Mother Sexual Harassment Puerto Rico Stifel Nicolaus SunTrust Statutory Disqualification Committee Broke And Broker Oppenheimer Employment Agreement Gold Rule 4513 JOBS Act Reg S-P Private Placements Counterclaim Mutual Funds Protocol 11Cir Board of Governors Small Firm Governor Covid Membership Continuance Confirm DOL Botkin Non Solicitation Check Kiting Obstruction of Justice OSHA Knight FNMA Tortious Interference Rule 2081 CNBC 9/11 Compensation Lawyer Absolute Immunity Joshua Brown Restaurant Khuzami supervision Lawyers Check Test Center Aleynikov CEO Robert Cook Testing Medicare Affinity Fraud Biden Taxes Restitution Standing Affiliate Pennystock Conflict PN Confidentiality Feigenbaum ING Deferred Compensation Woody Allen Cannabis EDNY Rationale TSSB Rule 13805 MF Global Bloomberg Irreparable Harm Johnny Burris Confidential Customer Information 10b-5 Michael King Associates Bandimere HSBC USERRA VIX Research Ketchum Saad Stanford Charity Executor SAC Rosenthal Recruiting Michael King Day Trading Service Termination Preliminary Injunction Funds AAA Reg D Circuit Court Morgan Stanely securities industry commentator Unregistered Rule 12504 Immunity Enforcement Inability to Pay Form ADV Article V TheBlot Bank Fraud High Frequency Trading Corruption Wire Transfer Customers EIA Sales Assistant Hurry Federal Reserve Passcode Banc of America Shah Gilani Wine Pennystocks Appointments Clause Leveraged ETF Churning Trade Secrets Phishing Information Sarbanes Oxley DNJ Dementia Written Supervisory Procedures fraud Puts Aguilar Congress Self Regulatory Organization Commodities Fraud BrokeAndBroke OCIE Unauthorized Practice of Law Corzine Chase Investment Services Failure To Supervise Casino Side Bar Hester Peirce 10b-10 Layering Excessive Trading Death Amazon Disability Vault money laundering ICO FINRA AWC Trader 6th Circuit Outside Account Administrative Remedies AXA Moon CGMI Google CDO Laptop Argentina White Joint Account Chief Compliance Officer Bid Rigging Over Concentration McDuff Negligence Pruco Parking Eligibility signature Star Wars Accounting Hugh Hewitt Third Party Vendor Medical Condition PAQ JPMS Rule 2430 Penson Privilege Government Accountability Project Statement of Corrective Action Honorarium Cantor Fitzgerald Yesenia Guitron IM Relevant Disciplinary History Rule 9554 Conflict of Interest Sexual Discrimination FINRA Small Firm Rule 12212 6Cir Ethereum Hearing ACH Obstruction 401k NRF Online State Actor Guitron Attorneys Fees Spoliation Self Directed Marine Corps Marines Marketplace Superior Court FMLA Rule 21F Probate Wanger DMD Constitution Morgan Stanley Smith Barney Lincoln Financial NPR Subpoena Default Poteroba Mutual Fund Kon Rule 3030 Securities America Whitman Teleconference Smith Barney Ride the Thunder Vietnam Motion to Compel Nietzsche Beneficiaries Talman Harris Sharemaster Finder\'s Fee David Sobel Rule 3310 Consent Order 5Cir Stipulated Award BrokeAndbroker Newport Coast Securities Scholander Transamerica SP Commodities Fiduciary Duty Money Market Puerto Rico Bonds Extraordinary Circumstances Liquidation Data Electronic Communications Rule 9216 Attorneys\' Fees Fine LLC Cold Spring Advisory Group Book of Business Female Escrow Mistake Gross EEOC Arrest SIFMA 40 Act Red Flags Zoom Arbitration BATS Guest Bloggers Fifth Amendment Conflicts Offset Rule 13504 Res Judicata Equity Indexed Annuities Scottsdale FCI FCI Beaumont Series 79 Slander elderly Interactive Brokers Resignation Tax Fraud Capital Gains RICO Respondeat Superior Non Solicit Taft Correctional Institution Turnover mail fraud wire fraud Permanent Bar Withdrawals Reform Reverse Life Insurance Christian Stanley Rule 2370 Rule 1031 Subject Matter Jurisdiction Revocation Backstage Wall Street Hotel Reuters Rory Flynn Expert Witness Password Tesla WBAPP First Amendment Libel Jennifer Tarr RRBDlaw Racial Discrimination For Cause Fowler Johnson BrokerAndBroker.com FOCUS Falsification Client Information Outside Accounts WaMu Life Insurance Motion NY Life Do Not Call Blank Forms SD OWWP Risk Commissioner Stein 401(k) YouTube Counterfeit Harassment David Lerner Microcap Texting Investment Adviser Stockbroker Son Thain Moore Confirmation Netschi GameStop Regulation S-P Financial Professionals Coalition Relevant Fee Annual Audit EDPA 17a-5 Outside Counsel S&P FAP Ethics Title VII TIC Inside Information Department of Justice Penalty Wires wrongful termination Fines WhatsApp Timban Settling Away Disciplinary History Civil Rights Pension Meals CD Blackbook VXX Florida Prudential Oral Discretion Verbal Discretion Kiting Schneiderman Inmate Elles Extortion Chiasson 11th Circuit Chase Bank Chevron Control Person Hospital UIT Acosta Obama Self Reporting Judgment Dell Trading Elder Law Daughter Gamification Crime ESOP Selling Away FCPA Stop Loss NYG Capital Investor Alert Regulation Copyright Kent Bartko Branch Manager Rule 13904 Eric Stein NRSRO Jon Corzine Tennis Court Retired Woman With Cane Willfull Motion to Postpone Joint Production Tax Advice ALJ Grimes National Securities AWC. FINRA Salman Oilpro Stephen A. Kohn God Apartment Particularity Fiero GAP Section 1332 Pacifico Schottenstein Rule 3210 Punitive Rule 144 Vacate Non-Prosecution Agreement Exhaustion Doctrine DWI Berthel Fisher Income FDA ADR Third Party Beneficiary Guardian Cherry Picking Sears PSRO Liu NFT Allocation Court of Appeal Undertaking In House Counsel SLUSA Reason for Termination Calls Hackers Investment Advisers Act Grievance FNI Media Rule 13201 Exception Reports Nationwide defamation Subway Bill singer In Connection With Prime Bank Section 206 Mantar Rule 12104 Stipulation Kierkegaard GME Office of Special Counsel Last Known Address Unauthorized Trades Lek MSPB Deceased Customer Checking Kovack Securities Compliance Questionnaire Municipal Advisor bank Promoter Fraudulent Inducement ESG Rule 21F-17 Exemption Summary Judgment Rule 13104 Vungarala Rule 1210 Women Rule 13206 Confidential Customer Information Powell Texas State Securities Board Retroactive Retroactive Bar Newbridge SDOH Collateral Bar Preet Bharara Purshe Kaplan Financial Disclosure Books and Records Hearsay Rules of Practice State Farm Bill Singer BrokeAndBroker Merger BIll Singer ADEA Game of Thrones Peirce Age Discrimination Private Actor Jay Clayton Payroll Bank Secrecy Act Patriot Act FinCEN Motion To Dismiss Law School ALJ Foelak Compliance Officer Travel Preliminary Determination Mary Jo White Books And Records Father Gnomes Hayden Production Beatles Diamonds NML Kennedy Lewis Carroll Cybersecurity Mattera Romer Dostoevsky DCO Cybercrime SIE Howey South Park Janney Montgomery Scott Burden of Proof SEC Rules of Practice Silver At Will Dylan Evidence Swaps Fourth Amendment Collateral Leveraged ETFs Binary Options Short Sale Compromise Khan Ten Commandments Coin NYLIFE Work Product Stock Promotion Wire Transfers Extraordinary Cooperation Wells Fargo Advisors CMO Form TCR Gifts Transfer Mail FINRA Foundation iPhone Supervisor Expense Dinner EB-5 Excel Arbitrability sexism Banks Legend expenses Arbitrator Series 66 Allstate Gabelli Non-Solicit Proctor Customer Files reimbursement Lorenzo Led Zeppelin DPA Deferred Prosecution Agreement Disparate Treatment Malice QuadrigaCX PHC Initials Molchatsky Executrix Laser Transitional Bonus Production Bonus Motion to Exclude BitTorrent Training Frivolous Discharge Orders Daspin Notice Rule 13212 Impersonator annuities NMS AI Turbeville DDC Bequest Nasdaq Constructive Discharge Sharing Agreement false statements Rule 12511 Shotgun Pleading JAMS Corporate Credit Card Alcoholism Motiion to Acquit Jury Instructions Covid-19 Public Arbitrator securities fraud Vaccarelli Altered Tysk ACT! Reg SHO Currency Merill Lynch Communications NPI finra BBVA Clayton Pershing FINRA Eligibility Rule Exception Report Expert Voya MBS whistleblower Non Compete Solomon Overtime Wages Practice Sale Quasi Governmental McCartney Rule 420 EDVA CAT Springsteen Clearing Firm Reasonable Hostile Workplace Cryptocurrencies Trainee Fee Altered Records Tipper Tippee College Undercover Capitalism Examinations Exotic ETF Life Settlement Elon Musk Bob Dylan Ecuador Lexicon Harris Twitter Goble Success Fee Rule 2330 Traders MDLA Ronald Filler Fidelity Brokerage Services Municipal Bonds ETFs Obamacare Bezos Principal Well Managed Portfolio Sterne Agee Witness Tampering JPMorgan Chase Forfeiture Back Dated Martoma SDCA Ruder Task Force Schumer Walter Audit Committee BrokeandBroker.com DMCA Espionage Dow William Faulkner Bribe Galleon Spam Scam Reverse Merger Diabetes Mary Schapiro Criminal Hurtado Boyland Cellphone RRBDLAW Justice Costa Rica FTC NFA Brokeandbroker.com Citibank IBM Disney DAO No Show US Airways HBO Lee Sex Credit Repair Murray Kenneth Starr JP Morgan Securities AMC Advisor Placement Group Dissident Baby Boomers Martin Bank Guarantee Koval DRS Naskovets Skimming Tran Countrywide Wang Securities and Exchange Commission Ineligibility AIG Anderson Statute of Limitation MAP Hertz 9th Circuit Press Release Merrill Margin Calls 1099 529 Plan Investacorp Motion to Compel Arbitration SIPC 8210 Theft Broy Fernandez Nicolas Corcione Personal Information Guardianship Varney Panama Fundacion Nicor House Financial Services Flash Drive


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 1998-2023 Bill Singer | Third party Trademarks, graphics, and/or content are the property of their respective owners.
Advertise | Privacy Policy | Legal Notice | Cookies