Search for: "Matter of Singer"
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18 Jan 2011, 7:09 pm
To make matters worse, her mental incapacity has sparked a family squabble that has led to a lawsuit. [read post]
6 Dec 2019, 12:39 am
In the Matter of the Arbitration Between Mark Munizzi, Claimant, v. [read post]
10 Apr 2020, 4:20 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5168/securities-industry-commentator/It’s Not Just the WHO: How China Is Moving on the Whole U.N. / Despite his saber-rattling, Trump’s pullback actually helps Beijing in its new, inside-baseball strategy to build influence (Politico by Kristine Lee)Federal Courts Consider Disturbing FINRA Customer Arbitration… [read post]
23 Aug 2019, 2:07 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4783/securities-industry-commentator/Man who Robbed West Mifflin PNC Bank Wearing a Pirates Hat and McDonald’s Uniform Shirt Will Spend 4+ Years in Prison (DOJ Release)Accountant Who Cheated Her Friends and Clients via a $27.5 Million Ponzi Scheme Sentenced to More than 8 Years in Federal Prison (DOJ Release)Two Women Sentenced To Federal… [read post]
24 May 2019, 9:08 am
In the Matter of the Application of Cynthia C. [read post]
17 Jan 2020, 12:06 am
In the Matter of Thomas J. [read post]
5 Apr 2019, 10:54 am
In the Matter of Edward M. [read post]
27 Jul 2020, 12:54 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5349/securities-industry-commentator/LAST CHANCE: VOTE FOR STEPHEN KOHN for 2020 FINRA Small Firm Governor (BrokeAndBroker.com Blog)CFTC Market Risk Advisory Committee Approves Subcommittee’s Single-Step Transition Recommendations at Public Meeting (CFTC Release)SEC Charges CEO and Company With Defrauding First Responders and Others Out of… [read post]
8 Jan 2021, 7:30 am
Hoffman (SEC Release)FINRA Fines and Suspends Rep for Preparing Tax ReturnsIn the Matter of Robert Leslie Mandau, Respondent (FINRA AWC)Securities Industry Commentator: A... [read post]
1 Jun 2020, 2:04 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5252/securities-industry-commentator/FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc. to Pay $7.2 Million in Restitution to Customers Overcharged for Mutual Funds (FINRA Release)FINRA Imposes Fine and Suspension for Rep's Facilitation of Customer's Son-In-Law's Account Withdrawals.In the Matter of Robert… [read post]
7 Nov 2020, 3:38 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5531/securities-industry-commentator/Tulare County Man Arrested for Over $8 M Fraud that Purported to Turn Cow Manure into Renewable Energy (DOJ Release)SEC Charges Former Wells Fargo Executives for Misleading Investors About Key Performance Metric (SEC Release)Michigan and New Jersey Men Admit Participating in $10 Million Multi-State Bank… [read post]
11 Dec 2017, 3:25 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer. [read post]
11 Sep 2020, 9:26 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5434/securities-industry-commentator/Former Foreign Exchange Trader Sentenced To Prison For Price Fixing And Bid Rigging (DOJ Release)In the Matter of the Claims for an Award in Connection with Redacted (SEC Order Determining Whistleblower Award Claim)Lucy’s Human: Remarks at Virtual Roundtable on The Role of Asset Management in ESG… [read post]
11 Dec 2020, 7:08 am
Lebenthal, Alexandra Lebenthal, and DOES 1 to 10 inclusive, Defendants (DND Order)FINRA NAC Sustains Bar for Unauthorized Credit Card UseIn the Matter of FI... [read post]
16 Jul 2019, 1:01 pm
In the Matter of the Arbitration Between Andrew Russell Kevlahan, Claimant, v. [read post]
3 Apr 2020, 2:27 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5155/securities-industry-commentator/COVID-19 throws a curve ball at RIA M&A market, gut-punching valuations and causing fence-sitters to resolve to get the hell out, but Q1 prices hold their own / M&A rainmakers hedge their bets on how deep COVID-19 will drive cuts to RIA sale prices, although first quarter market has been stable (RIABiz… [read post]
25 Jul 2019, 5:09 am
In the Matter of Orlando Vargas, Respondent (FINRA AWC) FIN... [read post]
25 Mar 2020, 10:51 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5144/securities-industry-commentator/Investors Remain Front of Mind at the SEC: Approach to Allocation of Resources, Oversight and Rulemaking; Implementation of Regulation Best Interest and Form CRS (SEC Release)In the Matter of LendingClub Corporation (TSSB Consent Order)Department of Justice and Department of Health and Human Services… [read post]
20 Nov 2020, 10:10 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5553/securities-industry-commentator/OCC Assesses $250 Million Civil Money Penalty Against JPMorgan Chase Bank, N.A.GUEST BLOG [In]Securities: Missing a Crowded Table By Aegis Frumento Esq (BrokeAndBroker.com Blog)Louisiana Woman Indicted in $4.8M Elder Fraud Scheme (DOJ Release)SEC Settles with Investment Adviser Who Failed to Disclose Conflicts… [read post]
1 Jun 2019, 1:51 am
In the Matter of the Arbitration Between Tom K. [read post]
