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by Bill Singer

Topic List for Purshe Kaplan (4 results)

  • Native American Tribe Investment Portfolio Proves Costly for Purshe Kaplan & Sterling Investments
    February 2, 2022
  • Native American Tribe's Investment Portfolio Proves Costly for Purshe Kaplan & Sterling Investments
    June 9, 2021
  • Management of Native American Tribe's Investment Portfolio Prompts FINRA Bar
    November 24, 2020
  • Federal Court Grapples With Compliance Officer's Whistleblowing to FINRA
    August 14, 2019

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Previous Entries

  • FINRA Arbitrator Denies Indemnification Citing Firm's Failure to Supervise
    February 6, 2023

    It would have been an easy bit of adjudication by a FINRA arbitrator to find that a now-barred rep was the bad guy, that he victimized his clients and... Read On

  • BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
    February 4, 2023

    The FINRA Regulatory Mule Kicks Defrauded Customers In the Head (BrokeAndBroker.com Blog) https://www.brokeandbroker.com/6852/finra-anderson-hard... Read On

  • The FINRA Regulatory Mule Kicks Defrauded Customers In the Head
    February 2, 2023

    In today's Blog we got a FINRA regulatory decision, a state court judgment, a bankruptcy, and a federal court action. As the legal matters now stand, ... Read On

  • The SEC Toys With A Dead FINRA Expungement Mouse for 50 Months
    January 31, 2023

    When considering an appeal questioning FINRA's denial of an expungement request, the SEC seems to have approached its deliberation as a cat toying wit... 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

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