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16 Aug 2019, 8:00 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/4759/securities-industry-commentator/Louis "The Coin" Colavecchio Sentenced to Prison for Counterfeiting $100 Bills (DOJ Release)Here’s how… [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]
6 Feb 2023, 3:08 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6876/securities-industry-commentator/ Lira v. [read post]
1 Nov 2019, 4:53 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4892/securities-industry-commentator/Tower Research Capital Not Such a CFTC Bad Boy After E-Mini Fraud (BrokeAndBroker.com Blog)As behemoth brokerage firms go zero-commission on trades, advisors are concerned (CNBC.com by Andrew Osterland)Ex-Merrill broker-turned-RIA settles CE cheating allegations (On Wall Street by Kenneth Corbin)SEC Dismisses… [read post]
27 Jan 2014, 1:37 pm
Read the rest of Singer: Can We Really Believe That These Chairpersons Have a Nonpartisan Approach? [read post]
24 Jan 2020, 4:10 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5036/securities-industry-commentator/Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5035/securities-industry-commentator/FINRA Ordered to Produce Public Relations Firm's Communications in Brummer Defamation Case. [read post]
21 Nov 2019, 8:42 am
North for Review of Disciplinary Action Taken by FINRA (SEC Opinion)Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4926/securities-industry-commentator/[In]Securities Guest Blog: Still a Wonde... [read post]
9 Nov 2015, 2:49 am
Don't Miss Bill Singer's CASE IN POINT Video Series Wall Street Legal, Regulatory and Compliance Issues New Episodes Every TuesdayNovember 10, 2015: Veteran Wall Street lawyer and BrokeAndBroker.com blogger Bill Singer speaks to the Reformed Broker, Josh Brown, on his history in the financial services industry; his disillusionment with the brokerage model and with Wall Street; why young advisors should not follow his example; his new focus as a registered… [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]
3 Feb 2014, 7:04 am
Read the rest of Singer Op-Ed Questions Partisan Maneuvering by Select Committee on Investigation (187 words) [read post]
12 Apr 2019, 5:19 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4540/securities-industry-commentator/Second Foreign National Sentenced To More Than Eight Years For Role In International Call Center Scam (DOJ Release)SEC Obtains Preliminary Injunction Against Fraudulent Investment Adviser Who Targeted Members of the Israeli-American Community (SEC Release)SEC Charges Southern California Engineer with Insider… [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, 8:41 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]
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]
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]
