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An irreverent Wall Street Blog
by Bill Singer

Topic List for Sro (17 results)

  • FINRA's Board Unimaginatively Responds to Existential Crisis By Raising Fees
    October 16, 2020
  • Federal Court Transmogrifies FINRA Into State Criminal Prosecutor
    December 13, 2019
  • FINRA Issues An Extraordinary and Cynical Release
    July 12, 2019
  • Second Circuit Reinstates BATS HFT Class Action
    December 20, 2017
  • Federal Appeals Court Deems FINRA Deputy of the Federal Government
    November 6, 2017
  • Join the Battle to Reform Wall Street Regulation
    June 2, 2017
  • Bill Singer Submits Rare FINRA Comment
    June 1, 2017
  • SEC Will Not Appeal Bartko And Posts Online Form For Reversing Collateral Bars
    February 24, 2017
  • SEC Hit By Wave Of Petitions For Removal of Post-Bartko Collateral Bars
    February 3, 2017
  • SEC Collateral Bars Set Aside In Dramatic Bartko Victory
    January 18, 2017
  • A FINRA Settlement Asks How Long Is Too Long? When Is Enough Enough?
    January 3, 2017
  • SEC Amicus Brief Raises Uncomfortable Questions About SRO Immunity
    December 1, 2016
  • Wall Street Critic Bill Singer Revisits His 2009 Reform Proposals
    April 22, 2016
  • FULL TEXT Opinion in Barclays High Frequency Trading Case
    August 27, 2015
  • UPDATE: Former Stockbroker Sues FINRA Over Online Disclosure of 18 Year Old Settlement
    August 7, 2015
  • Former Stockbroker Sues FINRA Over Online Disclosure of 18 Year Old Settlement
    February 19, 2015
  • Lawsuit Says FINRA Guilty of Deliberate, Retaliatory,and Malicious Conduct
    February 2, 2015

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Previous Entries

  • FINRA Takes A Shameful Victory Lap In Its Spoofing Settlement with Bank of America
    November 30, 2023

    Oh my!!! It's another day and another press release from FINRA announcing one of the largest fines in the history of mankind and how yet another in a ... Read On

  • Oral Argument at SCOTUS on SEC v. Jarkesy (Listen to Audio File / Read Transcript)
    November 28, 2023

    Rarely do the wheels of justice spin quickly and smoothly. More often than not, it's a long, slow grind. By way of example, Oral Argument is scheduled... 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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