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 Next (2 results)

  • FINRA Arbitrator Gets By With A Little Help of A Friend
    November 30, 2017
  • NEXT Smelled Email Smoke But Didn't Pull Compliance Alarm
    May 7, 2013

Search BrokeAndBroker

Previous Entries

  • Parietti's Predicament And Prosecutors' Puzzling Principles
    August 8, 2022

    Imagine that Joe, Jack, and Jim are charged with a criminal conspiracy, but Joe and Jack refuse to plead guilty. In contrast, Jim fully cooperates aga... Read On

  • BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
    August 6, 2022

    GUEST BLOG: [In]Securities: Lip Service: The SEC, Reg S-ID, and the Majestic Equality of Regulation by Aegis Frumento Esq (BrokeAndBroker.com Blog)htt... Read On

  • GUEST BLOG: [In]Securities: Lip Service: The SEC, Reg S-ID, and the Majestic Equality of Regulation by Aegis Frumento Esq
    August 5, 2022

    [In]Securities a Guest Blog byAegis J. Frumento, Partner, Stern Tannenbaum & BellLip Service: The SEC, Reg S-ID, and the Majestic Equality of... Read On

  • Absurd SEC Staff Bulletin Warns Industry To Adjust To Known Variables And Be Flexible
    August 4, 2022

    Submitted for your consideration: Staff Bulletin: Standards of Conduct for Broker-Dealers and Investment Advisers Conflicts of Interest (SEC... Read On

  • Georgia Court of Appeals Reverses Leggett v. Wells Fargo
    August 3, 2022

    Originally published as:"FINRA Report Refutes Court Finding Of Fundamental Unfairness In Leggett Arbitration" (BrokeAndBroker.com Blog /  June 30... Read On

  • Equity And Justice Prevail In Breathtaking FINRA Expungement Award
    August 1, 2022

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


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