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18 Oct 2017, 2:15 am
Absurd Unexplained Public Customer FINRA Arbitration Decision http://www.brokeandbroker.com/3630/finra-arbitration-decision/BrokerAndBroker.com Blog's publisher Bill Singer, Esq. ain't always a popular guy. [read post]
24 Oct 2017, 4:37 am
Veteran Wall Street Regulatory Critic Bill Singer, Esq. [read post]
9 Nov 2017, 2:30 am
Peikin, Co-Director, Enforcement Division at New York University School of Law, New York, NY)California Denies Expungement Of NASD And Ohio Regulatory Disclosureshttp://www.brokeandbroker.com/3666/flowers-finra/In today's BrokeAndBroker.com Blog, publisher Bill Singer, Esq. attempts to tackle a recent California case in which a former NASD-registered stockbroker sought the expungement of language from his BrokerCheck file. [read post]
19 Sep 2019, 1:32 am
Federal Courts Affirm Forgiveness of Barclays Promissory Notes Repayment(BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4821/barclays-notes-finra/Our publisher, Bill Singer, Esq. thinks that a FINRA Arbitration Panel and two federal courts got it right when they ruled in favor of two former Barclays employees, who were relieved of repayment of just shy of $4 million in promissory notes' balances. [read post]
10 Sep 2021, 1:27 pm
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6055/securities-industry-commentator/SEC Charges Three Media Companies with Illegal Offerings of Stock and Digital Assets / Companies to Pay More Than $539 Million in Settlement for Distribution to Investors (SEC Release)SEC Obtains $15 Million Final Judgment Against Virginia Real Estate Developer (SEC Release)SEC Obtains Final Judgment… [read post]
16 Aug 2019, 8:00 am
PERSONAL STATEMENT by BILL SINGER, Publisher of the BrokeAndBroker.com Blog and Securities Industry Commentator:FINRA Small Member Firm Petition Candidate Linde Murphy defeated FINRA incumbent Small Member Firm Governor and FINRA Nominating Committee candidate Robert Muh. [read post]
26 Jun 2022, 6:42 am
Edelman Financial Goes After Former Employee in Federal Court (BrokeAndBroker.com Blog)Edelman Financial Goes After Former Employee in Federal Court (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6516/edelman-financial-nonsolicit/BrokeAndBroker.com Blog publisher Bill Singer Esq. is no fan of non-solicit/non-compete provisions. [read post]
10 Mar 2017, 10:19 am
And then, BrokeAndBroker.com Blog's Bill Singer goes off on a tirade. [read post]
9 Oct 2017, 4:54 am
FINRA Settlement Muddies Wall Street's Regulatory Waters http://www.brokeandbroker.com/3618/finra-awc-pearl/Regular readers of the BrokeAndBroker.com Blog know that our publisher, Bill Singer, Esq., regularly rails against the lack of adequate "content and context" in many regulatory documents. [read post]
18 Nov 2016, 3:29 am
Ars longa, vita brevis.A happy and healthy Thanksgiving to my BrokeAndBroker.com Blog audience.Bill Singer Bogus Stockbroker Gets 15 Years In Prison For Elder FraudIf you had encountered Lisa A. [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]
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/5457/securities-industry-commentator/JPMorgan Chase & Co. [read post]
7 Feb 2022, 5:47 am
And as our publisher Bill Singer angrily notes, not a glowing endorsement of FINRA's lackluster and apparently lackadaisical Board of Governors. [read post]
20 Feb 2015, 4:07 am
On the other hand, it's what they left out of the Arbitration Decision that caught the attention of veteran industry lawyer Bill Singer. [read post]
5 Jun 2023, 4:09 am
Federal Circuit Court Says Price Isn't Right In UBS Whistleblower Retaliation (BrokeAndBroker.com Blog) 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 SCOTUS Says in Jack… [read post]
18 Apr 2016, 5:07 am
Wall Street Critic Bill Singer Revisits His 2009 Reform ProposalsYesterday, I posted the link on my social media sites to: "Why I (Belatedly) Blew the Whistle on the SEC's Failure to Properly Investigate Goldman Sachs"(Watchthecircus.com, by James A. [read post]
7 Nov 2021, 7:09 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6152/securities-industry-commentator/SEC Charges Exchange-Traded Product and Its General Partner With Disclosure Failures (SEC Release)CFTC Orders United States Commodity Funds LLC to Pay $2.5 Million for Failure to Fully Disclose Information Relating to Trading Limitations to Commodity Pool Participants (CFTC Release)Ukrainian Arrested and… [read post]
4 Nov 2016, 6:02 am
As noted in the blog by author Bill Singer, Esq., a non-disclosure allegation by FINRA takes on even greater dimension when the regulator asserts that the failure was willful because such a finding would render the respondent statutorily discharged. [read post]
2 May 2017, 5:19 am
In today's featured FINRA regulatory settlement, our publisher Bill Singer read through the underlying facts and was puzzled by the odd characterizations. [read post]
25 Oct 2019, 7:29 am
Our publisher Bill Singer is torn by the dilemma of not quite understanding why there's any hesitation but (b... [read post]
