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An irreverent Wall Street Blog
by Bill Singer

Topic List for Unsuitability (12 results)

  • FINRA Expungement Takes on Aspects of a Psychiatric Case
    February 2, 2021
  • Merrill Lynch Wins Motion to Dismiss Stale Customer Claims -- But Barely
    May 24, 2019
  • FINRA Arbitration Asks If Conservative Strategy Was Too Conservative
    April 2, 2019
  • Wife Says JP Morgan and Stockbroker Scammed Her In ReFi of Ex-Husband's Mortgage
    March 8, 2019
  • LPL Stockbroker Wins FINRA Expungement Despite Six Figure Customer Settlement
    October 1, 2018
  • FINRA Arbitrator Tells Customers Suing Citigroup That It's Too Late Baby
    September 20, 2018
  • FINRA Arbitrator Holds Public Customer Claimant In Contempt
    December 13, 2017
  • FINRA Suitability Settlement Involves Five Elderly Retired Morgan Stanley Customers
    November 27, 2017
  • FINRA Suitability Rule and the Unsophisticated Investor
    October 23, 2017
  • VXX Vice Versa Vexes Veteran Stockbroker
    June 21, 2017
  • Customer Loses $6.6 Million VirnetX Case Against JP Morgan
    May 11, 2017
  • Great Recession Blamed For Customer Losses
    October 17, 2013

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  • IN MEMORIAM: Tops Markets, Buffalo, New York Massacre
    May 16, 2022

    Out of respect forthe 10 deceased and three injured victimsat the Tops Markets, Buffalo, NY massacrethe "BrokeAndBroker.com Blog" suspends p... Read On

  • BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
    May 14, 2022

    Wells Fargo Sues Over Transitional and Production Bonuses But Rep Fights Back (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6445/wells-fargo... Read On

  • Wells Fargo Sues Over Transitional and Production Bonuses But Rep Fights Back
    May 13, 2022

    Wall Street is about nothing if not money. In today's featured dispute, we got a transitional bonus. We got production bonuses. We got promissory note... Read On

  • Federal Court Puts A Second Fork In Schottenstein FINRA Arbitration and Says It's Done And Done
    May 12, 2022

    The saga of Beverley Schottenstein's lawsuit against JP Morgan Securities and her grandsons Evan and Avi has been widely reported in the press. This... Read On

  • FINRA Torches Small Brokerage Firm Over Due Diligence Procedures
    May 10, 2022

    On Wall Street, the regulated and the regulators each have a role to play in the regulatory scheme. The regulated need to follow the rules. The regula... Read On

  • FINRA Arbitrators and Federal Courts Consider If A Terminable-At-Will Employee Can Be Wrongfully Terminated
    May 9, 2022

    Your broker-dealer just fired you. You're angry because they sandbagged you and it was a set-up, or so you say. All of which prompts you to dial a law... 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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