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An irreverent Wall Street Blog
by Bill Singer

Topic List for Plea (9 results)

  • Federal Appellate Court Affirms Dismissal of Wells Fargo and FINRA
    January 30, 2023
  • Cuyahoga Gone in Appellate Ruling To Send Dispute to FINRA Arbitration
    September 23, 2022
  • Edward Jones Sued for $15 Million Over Book of Business
    May 17, 2022
  • Federal Court Cites Quintessential Shotgun Pleading and Myriad of Motions in FINRA Arbitration Appeal
    May 22, 2020
  • FINRA Settles Case Involving What Looks Like A Felony But Isn't
    January 17, 2020
  • Wall Street Career Cashed Out Over Identity Theft and Gift Cards
    June 7, 2018
  • FINRA Felony Jigsaw Puzzle
    August 10, 2017
  • This Damnable Sin
    May 23, 2017
  • Bogus Stockbroker Gets 15 Years In Prison For Elder Fraud
    November 22, 2016

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  • Wall Street Regulators Provide Express Check-Out Line for Goldman Sachs
    September 26, 2023

    Goldman Sachs & Co. is a powerhouse in investment banking, global securities markets, investment management, and consumer banking. In recent years... 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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