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16 Oct 2022, 10:17 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6719/securities-industry-commentator/Frustrated Interactive Brokers Customer Can't Get No Satisfaction With Tesla Order (BrokeAndBroker.com Blog)FINRA Takes Wells Fargo Stockbroker Outback to a Bar for a Second Round (BrokeAndBroker.com Blog)Deferred Compensation Case Meanders to FINRA Arbitration to Federal Court to State Court to Dumpster… [read post]
17 Jun 2021, 3:25 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5914/securities-industry-commentator/FINRA Fines and Suspends Rep for Undisclosed Bankruptcy in PPM (BrokeAndBroker.com Blog)Manhattan U.S. [read post]
22 Aug 2021, 6:49 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6023/securities-industry-commentator/Surprise, Surprise, Surprise In FINRA Intra-Industry Defamation Arbitration (BrokeAndBroker.com Blog)VOTE for FINRA Small Firm Governor Paige W. [read post]
15 Oct 2021, 12:10 pm
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6118/securities-industry-commentator/CFTC Awards Largest Single Whistleblower Award of $200 Million But With One Commissioner's Dissent (BrokeAndBroker.com Blog)Suburban Chicago Woman Guilty of Insider Trading (DOJ Release)Coolidge Real Estate Investor Convicted of Wire Fraud and Money Laundering (DOJ Release)... [read post]
1 May 2023, 3:49 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/7020/securities-industry-commentator/ A Call for Boycott: FINRA Board of Governors' Cowardly Silence Becomes Thunderous (BrokeAndBroker.com Blog) Financial Professionals Coalition, Ltd. [read post]
8 Aug 2020, 2:21 am
BILL SINGER ANNOUNCES POSSIBLE RETIREMENT PENDING $7.5 Million SettlementRobinhood reports more monthly trades than rivals Charles Schwab, E-Trade combined (CNBC by Kate Rooney)Disbarred Beverly Hills Lawyer Pleads Guilty to Federal Charge that He Embezzled His Client’s Money and Used It to Pay Off Debt (DOJ Release)SDNY Says You're Gonna Have To Serve Somebody (And Email Ain't Gonna Cut it) (BrokeAndBroker.com Blog)SEC Charges Interactive Brokers With Repeatedly Failing to… [read post]
25 Sep 2020, 12:49 pm
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5456/securities-industry-commentator/List Brokerage Firm Pleads Guilty To Facilitating Elder Fraud Schemes / Corporate Guilty Plea Follows Guilty Plea and Indictment of Executives (DOJ Release)Owner of Bitcoin Exchange Convicted of Racketeering Conspiracy for Laundering Millions of Dollars in International Cyber Fraud Scheme (DOJ Release)SEC… [read post]
20 Sep 2021, 8:05 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6067/securities-industry-commentator/ SEC Charges Crowdfunding Portal, Issuer, and Related Individuals for Fraudulent Offerings / Case is SEC's First Involving Regulation Crowdfunding (SEC Release)Chevy Chase Man Facing Federal Indictment for Allegedly Posing as an Investment Advisor to Steal $750,0000 From a Non-Profit Organization… [read post]
8 Jan 2021, 7:30 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5637/securities-industry-commentator/Visa and Plaid Abandon Merger After Antitrust Division's Suit to Block / Decision to Terminate Deal Preserves Competition (DOJ Release)3Cir Reverses Wilmington Trust Defendants' Convictions for False Statement and Certification and Vacates for Conspiracy and Securities FraudUnited States of America… [read post]
21 Aug 2020, 12:18 am
GUEST BLOG: Bill Singer Talks To Industry Recruiter Ron Edde of Millennium Career Advisors (BrokeAndBroker.com Blog)JPMorgan will have staff cycle between office and remote work in a move that may remake Wall Street (CNBC by Hugh Son)Minority entrepreneurs at a tipping point as Black-owned banks dwindle in the U.S. [read post]
27 Feb 2020, 11:14 am
Department of Justice Charges Unprecedented Number of Elder Fraud Defendants Nationwide and Launches Hotline (DOJ Release)Bill Singer's Annual Warning: Disclose Your Tax Liens (BrokeAndBroker.com Blog)Rep Fined And Suspended by FINRA for Undisclosed Customer Settlement. [read post]
6 Oct 2014, 3:48 am
Bill Singer challenges FINRA to deal with industry sexism and to clean its own house. [read post]
5 Jun 2023, 4:09 am
Branch Manager and FINRA Fail to See Red Flags of Unsuitability Involving Senior Customers (BrokeAndBroker.com Blog) Physically Delivering Digital Assets In Order To Satisfy CFTC's Observation (BrokeAndBroker.com Blog) Bill Singer, Publisher of the Securities Industry Commentator and the BrokeAndBroker.com Blog, Calls for BOYCOTT of 2023 FINRA Elections DOJ RELEASES Former Co-Owner Of Minnesota Vikings Sentenced To 75 Months In Prison For Providing Shadow Banking Services To… [read post]
31 Jul 2020, 4:48 am
Former Kane County Resident Charged In Alleged Financial Fraud Scheme That Exploited Senior Citizens / Charges Allege He Impersonated Federal Judges, Court Officials As a Part of Scheme (DOJ Release)[In]Securities Guest Blog: The Royal Scam by Aegis Frumento Esq (BrokeAndBroker.com Blog)SEC Charges Affiliated Advisers for Misrepresentations About Payment for Order Flow Arrangements (SEC Release)SEC Obtains Default Judgment Against Microcap Executive Charged with Defrauding Retail Investors (SEC… [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/5430/securities-industry-commentator/How SoftBank and Robinhooders Added Fuel to the Stock Market Boom (Bloomberg Podcast by Joe Weisenthal and Tracy Alloway)Atlanta director and producer indicted for operating cryptocurrency-based investment schemes that cost victims over $2 million in losses (DOJ Release)SEC Charges Film Producer,… [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/5165/securities-industry-commentator/The Virus Should Wake Up the West / The job of government is to protect its citizens. [read post]
6 Feb 2023, 3:08 am
FINRA Arbitrator Denies Indemnification Citing Firm's Failure to Supervise (BrokeAndBroker.com Blog) Calling All Unreasonable Wall Street Professionals by Bill Singer Esq ‘Phishing-as-a-service’ kits are driving an uptick in theft: What you can learn from one business owner’s story (CNBC by Dawn Giel) Criminals use Telegram to recruit ‘walkers’ as America’s big banks see an 84% increase in check fraud (CNBC By Eamon Javers… [read post]
9 Jul 2019, 6:22 am
Peter Singer, regularly listed as one of the most influential people in the world, has recently suggested that we abandon brain death altogether. [read post]
15 Sep 2020, 9:19 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5442/securities-industry-commentator/Intellectual Siren Song (Remarks at the 7th Annual Conference on Financial Market Regulation by SEC Commissioner Hester Peirce)'FinCEN' documents reportedly show banks moved illicit funds - BuzzFeed, ICIJ (Reuters Release)9Cir Affirms Dismissal of Class Action Against Credit Suisse… [read post]
27 Apr 2018, 4:30 am
FINRA Arbitrators Say Wells Fargo Bank Breached Duty of Customer CareNo one has ever called BrokeAndBroker.com Blog's publisher Bill Singer a snarky bastard when it comes to his shots against the Financial Industry Regu... [read post]
