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An irreverent Wall Street Blog
by Bill Singer

Topic List for Dpa (9 results)

  • TD Ameritrade Escapes $1.7 In Damages But An Advisor Gets Slammed by FINRA Arbitrators
    December 29, 2022
  • 3Cir Says Never Is Better Than Late In FINRA Arbitration Appeal
    February 4, 2021
  • Wells Fargo Settles Criminal and Civil Sales Practices Cases
    February 24, 2020
  • Court Rejects Late Breaking Wisdom As Too Late in FINRA Arbitration Appeal
    February 7, 2020
  • Federal Court Grapples With Compliance Officer's Whistleblowing to FINRA
    August 14, 2019
  • The Gilligan's Island Iliad Odyssey of a FINRA Customer Arbitration
    August 30, 2016
  • FINRA Public Arbitrator Conflict Heads For Supreme Court
    April 29, 2014
  • The Hypocrisy of Deferred Prosecution Agreements
    January 8, 2014
  • Full-Text Source Documents In J.P. Morgan Chase Madoff Settlement
    January 7, 2014

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  • JOIN the Financial Professionals Coalition, Ltd. FREE MEMBERSHIP
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  • BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
    March 18, 2023

    A Form Of Lunacy Has Overtaken The SEC (BrokeAndBroker.com Blog) https://www.brokeandbroker.com/6926/sec-lunacy-rulemaking/ A form of lunacy... Read On

  • A Form of Lunacy Has Overtaken the SEC
    March 16, 2023

    A form of lunacy has overtaken the Securities and Exchange Commission. Those in charge seem to have lost any concept of how to rationally manage a fin... Read On

  • FINRA's Travesty of a Transamerica Settlement
    March 13, 2023

    There is none so blind as those who will not see; and on Wall Street, the industry's regulators are blinded by their refusal to see the disparity be... 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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