Search for: "Matter of Singer"
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30 Jan 2020, 12:46 am
In the Matter of FIMCO Securities Group, Inc., Respondent (FINRA AWC)FINRA OHO Panel Grants Summary Disposition in Rule 8210 Matter. [read post]
25 Jul 2022, 4:10 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6575/securities-industry-commentator/FINRA Small Firms Face Existential Crisis. [read post]
1 Aug 2022, 4:04 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6587/securities-industry-commentator/GUEST BLOG: [In]Securities: Lip Service: The SEC, Reg S-ID, and the Majestic Equality of Regulation by Aegis Frumento Esq (BrokeAndBroker.com Blog)Absurd SEC Staff Bulletin Warns Industry To Adjust To Known Variables And Be Flexible (BrokeAndBroker.com Blog)FINRA Censures and Fines JP Morgan Securities In… [read post]
31 Mar 2021, 9:30 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5783/securities-industry-commentator/Customer Complaints and Away Settlements -- Matters of Interpretation? [read post]
18 Feb 2021, 5:14 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5711/securities-industry-commentator/GUEST BLOG: COVID-19's Impact on Financial Advisors / How the Pandemic is Changing the Way Advisors Work by Michael King of Michael King Associates (BrokeAndBroker.com Blog)SEC Charges Individual for Engaging in Illegal Unregistered Offering (SEC Release)SEC Issues Whistleblower Awards Totaling Over $1.7… [read post]
5 Mar 2020, 11:53 am
Robert Singer’s bill, advanced today by the Senate. [read post]
21 Sep 2020, 11:26 am
Of course, Black Lives Matter. [read post]
26 Nov 2013, 5:42 am
Any time an estate battle goes to trial, there are unknowns which can sway the matter either way. [read post]
30 Mar 2009, 4:45 pm
I guess it was only a matter of time before... [read post]
9 Nov 2021, 7:45 am
We are thrilled to welcome Texas Associate Deputy Attorney General Paul Singer to the firm’s growing State Attorneys General practice group. [read post]
8 May 2020, 6:31 am
Belvedere)SEC Obtains Judgments Against Florida Men in Ponzi Scheme Action (SEC Release)SEC Obtains Receiver Over Florida Investment Adviser Charged With Fraud (SEC Release)My $1.75 Million Irrevocable Compensation Payment (A Securities Industry Commentator Exclusive from Bill Singer, Esq.... [read post]
2 Nov 2020, 8:07 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5515/securities-industry-commentator/Two Men Indicted For Allegedly Operating Multimillion Dollar Sports Betting Pyramid Scheme In Las Vegas / Defendants Allegedly Defrauded More Than 600 Investors (DOJ Release)Russian Cybercriminal Sentenced to Prison for Role in $100 Million Botnet Conspiracy (DOJ Release)SEC Division of Enforcement Publishes… [read post]
21 May 2021, 3:23 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5864/securities-industry-commentator/Fort Dodge Woman Sentenced to Federal Prison for Defrauding Elderly Disabled Veteran Out of Life Savings / Stole over $120,000 from Nursing Home Resident in 2018 and 2019 (DOJ Release)Texas Man Pleads Guilty to Conspiring to Commit Wire Fraud (DOJ Release)Chattanooga Man Charged with Defrauding Investor in… [read post]
4 Mar 2018, 5:43 am
The BrokeAndBroker.com Network includes a daily feed curated by our dashing and effervescent publisher Bill Singer, Esq.For those of you tired of Bill's pithy musings and brilliant insights, the Securities Industry Commentator http://www.rrbdlaw.com/blog.php provides brief descriptions of legal, regulatory, and compliance matters with direct links to the underlying full-text documents. [read post]
24 May 2019, 9:08 am
No . . . it's not a sympathetic case for the Respondent rep, as our publisher Bill Singer makes clear. [read post]
6 Nov 2017, 1:01 pm
On the other hand, when you read the fact pattern, you'll see that there are some nuances to this particular matter that may dispel some of your first impressions. [read post]
10 May 2019, 5:08 am
In the Matter of the Application of Long Term Stock Exchange, Inc.for Registration as a National Securities Exchange (Findings, Opinion, and Order of the SEC; Rel. [read post]
15 May 2014, 4:35 pm
As you can see, driving under the influence is a serious matter. [read post]
21 Jun 2023, 12:33 pm
Singer meets that standard. [read post]
28 Dec 2009, 7:42 pm
Singer and I have no confidentiality agreement, and it provides essential context to the matter at hand, I have decided to publish it. [read post]
