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An irreverent Wall Street Blog
by Bill Singer

Topic List for Transitional Bonus (3 results)

  • Wells Fargo Sues Over Transitional and Production Bonuses But Rep Fights Back
    May 13, 2022
  • Wells Fargo Sues Over Transitional and Production Bonuses And Rep Fights Back
    September 15, 2020
  • Wells Fargo Sues Over Transitional and Production Bonuses And Rep Fights Back
    June 3, 2020

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Previous Entries

  • Wells Fargo Refuses Wife's Demand To Liquidate Joint Account and Send Her 50% of Proceeds
    June 9, 2023

    As a marriage dissolves, the wife instructs Wells Fargo to liquidate the joint account and forward 50% of the proceeds to her. Seems fair, no? Pursuan... Read On

  • Federal Circuit Court Says Price Isn't Right In UBS Whistleblower Retaliation
    June 7, 2023

    A former UBS financial advisor (a top producer) was fired for allegedly violating compliance policies. The advisor tells a markedly different story.... Read On

  • 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

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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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