Search for: "SINGER"
Results 641 - 660
of 10,848
Sorted by Relevance
|
Sort by Date
13 Feb 2023, 3:30 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6888/securities-industry-commentator/ SEC Press Release Fails To Disclose that OCC Settled Charges Without Admitting or Denying Findings (BrokeAndBroker.com Blog) Calling All Unreasonable Financial Professionals: a personal message from Bill Singer Esq (BrokeAndBroker.com Blog) Notice Regarding Paxos-Issued BUSD (Consumer… [read post]
12 Sep 2019, 1:06 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4809/securities-industry-commentator/Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4807/securities-industry-commentator/Here’s why the top two antitrust enforcers in the US are squabbling over who gets to regulate Big Tech… [read post]
28 Dec 2016, 10:02 am
Note Bill Singer's Comment after each rule section:FINRA Conduct Rule 3270: Outside Business Activities of Registered PersonsNo registered person may be an employee, independent contractor, sole proprietor, officer, director or partner of another person, Bill Singer’s Comment: First ... [read post]
23 Oct 2020, 3:31 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5507/securities-industry-commentator/SEC Awards Over $10 Million to Whistleblower (SEC Release)Court Denies Jury Trial to Plaintiff Brummer in Defamation CaseCFTC’s Enforcement Division Issues Staff Guidance on Recognition of Self-Reporting, Cooperation, and RemediationFINRA Turns 300 Orally Authorized Trades Into 300 Trades Of Unauthorized… [read post]
20 Jan 2016, 2:28 am
Even as jaded an industry pundit as the BrokeAndBroker Blog's author and publisher Bill Singer takes notice of a FINRA arbitration with those multiple seven-figure damages. [read post]
13 Aug 2022, 8:55 am
(BrokeAndBroker.com Blog)Claimant Wins $57 Million in FINRA Arbitration Award and Once More Around The Loop with Bill Singer (BrokeAndBroker.com Blog)How Regulatory Sandbox Programs Can Promote Technological Innovation and Consumer Welfare / Insights from Federal and State Experience (OnPoint, Competitive Enterprise Institute by Ryan Nabil)California Man Receiv... [read post]
1 Nov 2015, 4:44 am
Don't Miss Bill Singer's CASE IN POINT Video Series Wall Street Legal, Regulatory and Compliance Issues New Episodes Every Tuesday November 3, 2015: Bill Singer talks with Shah Gilani, a market analyst with Capital Wave Forecast and Short Side Fortunes, on his trading career and popular investment newsletters; the downside of the rise of electronic stock exchanges; the connection between regulatory issues and volatility; how the SEC has… [read post]
28 Feb 2022, 3:42 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/XXXX/securities-industry-commentator/Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6322/securities-industry-commentator/No Good Deed Goes Unpunished As FINRA Sanctions Rep For Lending Money to Friend (BrokeAndBroker.com Blog)Wells Fargo… [read post]
23 Nov 2015, 2:28 am
Bill Singer's CASE IN POINT Video Series Wall Street Legal, Regulatory and Compliance Issues Final Episode November 24thNovember 24, 2015: Veteran Wall Street lawyer and publisher of the BrokeAndBroker.com Blog, Bill Singer, speaks to Jenice L. [read post]
5 Mar 2014, 1:05 pm
Read the rest of Singer, Kean & Rible Applaud House Passage of Homeowner Flood Insurance Affordability Act of 2014 (241 words) [read post]
11 May 2016, 8:59 am
” Read the rest of Singer/Kean Bill Alerts More High Schoolers, 8th Graders of NJ STARS Scholarship Program (247 words) [read post]
11 May 2016, 8:41 am
“Each year, tens of thousands of graduates leave to pursue a four-year degree out of state,” Senator Singer said. [read post]
10 Jul 2017, 10:28 am
Robert Singer, Sen. [read post]
7 Jul 2011, 12:14 pm
According to a news report by TMZ, the singer had a .1 BAC when he was pulled over by the authorities on May 1, 2011. [read post]
27 Apr 2009, 8:00 am
The 19-year-old Brown is facing charges of assaulting singer Rihanna, his former girlfriend. [read post]
7 May 2020, 6:17 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5214/securities-industry-commentator/Santa Monica Man Admits Orchestrating Online Romance Scam that Conned Four Women into Investing in His Bogus Companies (DOJ Release)In the Matter of the Application of MEMX LLC for Registration as a National Securities Exchange Findings, Opinion, and O... [read post]
23 Dec 2015, 2:51 am
Veteran Wall Street attorney and publisher of the BrokeAndBroker.com Blog, Bill Singer, hosted the seven-episode video series Case-in-Point,which concluded its run on November 24, 2015. [read post]
12 Mar 2021, 11:31 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5744/securities-industry-commentator/SEC Obtains Emergency Asset Freeze, Charges California Trader with Posting False Stock Tweets (SEC Release)Apex Serial Fraudster Sent Back to Federal Prison for Investment Scam Involving Impersonation of Mayor, Professor, and Government Agency (DOJ Release)Arizona Man Sentenced for Multimillion-Dollar… [read post]
15 Mar 2012, 1:28 pm
Legislation sponsored by Senators Bob Singer (R-Monmouth, Ocean) and Richard J. [read post]
13 Feb 2012, 10:20 am
Legislation sponsored by Senator Robert Singer (R-30) and Senator Dawn Marie Addiego (R-8) which would require the Commissioner of Health and Senior Services to convene a planning summit to examine an expected shortage of physicians practicing in the Garden State has been approved by the New Jersey Senate. “A recently completed report predicts that within the next decade, New Jersey will face a shortage of thousands of physicians practicing in family care and important… [read post]
