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An irreverent Wall Street Blog
by Bill Singer

Topic List for Taxes (7 results)

  • Lawyer Says His Compulsive Hoarding Fostered Failure to Timely Pay Taxes
    December 16, 2020
  • SEC Remands Feitelberg Bar to FINRA Citing Respondent's Serious Illness
    July 28, 2020
  • Stockbroker Expungement Grapples With Death and Taxes in Time of Plague
    June 5, 2020
  • FINRA Borrowing Settlement Involves Friendly 96 Year Old Customer
    October 4, 2017
  • Yabba Dabba Doo In Unbeknowst FINRA Embezzlement AWC
    December 2, 2015
  • FULL TEXT US Supreme Court Opinion US v. Quality Stores, Inc
    March 25, 2014
  • UBS: You and Us (keep it quiet...we're in this jam together)
    February 18, 2009

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Previous Entries

  • Branch Manager and FINRA Fail to See Red Flags of Unsuitability Involving Senior Customers
    June 6, 2023

    In a recent FINRA regulatory settlement, a former supervisor was charged with having been aware of red flags of potentially unsuitable sales of liquid... Read On

  • Physically Delivering Digital Assets In Order To Satisfy CFTC's Observation
    June 5, 2023

    Recently, the Commodity Futures Trading Commission published both a Staff Advisory and a Press Release that articulated its observations and disclos... Read On

  • BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
    June 3, 2023

    FINRA Took Wells Fargo Stockbroker Outback to a Bar and SEC Says It's The Last Round (BrokeAndBroker.com Blog) https://www.brokeandbroker.com... Read On

  • FINRA Took Wells Fargo Stockbroker Outback to a Bar and SEC Says It's The Last Round
    June 1, 2023

    A former Wells Fargo Clearing Services, LLC registered representative attempted to pay $3,800 to purchase an Outback Bowl VIP Club Membership, which... Read On

  • SEC Orders FINRA to Raise Its Arbitration Forum Gate For Expungements
    May 30, 2023

    In today's blog we consider the plight of two registered representatives seeking to obtain expungements of customer complaints by filing FINRA Arbitra... 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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