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An irreverent Wall Street Blog
by Bill Singer

Topic List for Sip (5 results)

  • Charles Schwab SIP Robo-Adviser Cited In FINRA Arbitration
    July 5, 2022
  • Old CUSIP. New CUSIP. And a Customer Sues TD Ameritrade
    September 11, 2019
  • Court Slams North American Clearing SIPC Trustee
    October 13, 2014
  • Madoff Victims Suffer Major Setback In Federal Appeals Court
    February 23, 2013
  • Lehman Seeks to Collect Unpaid Loan Balances -- And Its Former Employees Are Furious
    November 19, 2010

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Previous Entries

  • FINRA Arbitration Panel Finds TD Ameritrade Grossly Negligent With Form U5
    August 15, 2022

    A panel of three FINRA arbitrators found TD Ameritrade's management to have been grossly negligent and failing to use due diligence. Okay, sure, the v... Read On

  • BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
    August 13, 2022

    Overtime at Merrill Lynch Prompts Uneven-Handed FINRA Regulation (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6602/merrill-lynch-finra-over... Read On

  • Overtime at Merrill Lynch Prompts Uneven-Handed FINRA Regulation
    August 12, 2022

    Early on in "Macbeth," the eponymous character famously muses:But in these cases We still have judgment here; that we but teach Bloody instr... Read On

  • Federal Court Denies Legend Securities President Bankruptcy Discharge of FINRA Customer Arbitration Award
    August 10, 2022

    It's not that rare a scenario. An investor is victimized by fraud and suffers significant financial losses. The victim seek out a lawyer to sue the br... Read On

  • 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

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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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