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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 Agencies issue final… [read post]
22 Feb 2022, 4:11 am
UPDATE: The Google, Candido Viyella, Morgan Stanley, Fundacion Nicor Panama Saga: a Bill Singer 2022 Copyrighted Article fighting DMCA Takedowns (BrokeAndBroker.com Blog)Federal Court Denies J.P. [read post]
13 Feb 2023, 3:30 am
Calling All Unreasonable Financial Professionals: a personal message from Bill Singer Esq (BrokeAndBroker.com Blog) Notice Regarding Paxos-Issued BUSD (Consumer Alert / New York State Department of Financial Services) New York Securities Fraud Ruling Threatens US White-Collar Cases (Bloomberg Law by Ben Penn) DOJ RELEASES Idaho I.T. [read post]
22 Feb 2022, 4:11 am
Federal Court Puts A Fork In Schottenstein FINRA Arbitration and Says It's Done (Maybe) (BrokeAndBroker.com Blog)SEC Proposes Short Sale Disclosure Rule, Order Marking Requirement, and CAT Amendments / Agency Also Reopens Comment Period for Proposed Rule 10c-1 (SEC Release)UPDATE: The Google, Candido Viyella, Morgan Stanley, Fundacion Nicor Panama Saga: a Bill Singer 2022 Copyrighted Article fighting DMCA Takedowns (BrokeAndBroker.com Blog)Jury Convicts Arizona and California Men for… [read post]
3 Apr 2020, 2:27 am
Personal note from Bill Singer -- Not the time for FINRA to ZOOM through witnesses' rightsChris Cuomo: Here's the secret to kicking this virus (CNN / Cuomo Prime Time)Woman charged with falsely claiming officer accessed her bank account from International Space Station (DOJ Release)Cantor Fitzgerald Agrees to Pay $3.2 Million to Settle Charges for Providing Deficient Blue Sheet Data (SEC Release)Protect Your Wallet -- and Your Health -- from Pandemic Scammers / FBI Exec Discusses… [read post]
1 Mar 2019, 10:19 am
As Securities Industry Commentator readers know, our publisher Bill Singer has an eye for the odd and unusual, which he frequently sees when he gazes into a mirror. [read post]
8 May 2020, 6:31 am
Belvedere)SEC Obtains Judgments Against Florida Men in Ponzi Scheme Action (SEC Release)SEC Obtains Receiver Over Florida Investment Adviser Charged With Fraud (SEC Release)My $1.75 Million Irrevocable Compensation Payment (A Securities Industry Commentator Exclusive from Bill Singer, Esq.... [read post]
10 Apr 2020, 4:20 am
Federal Courts Consider Disturbing FINRA Customer Arbitration Decision(BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5173/finra-arbitration-mid-atlantic/BrokeAndBroker.com Blog readers are well aware of Bill Singer's long-standing complaint that FINRA's arbitration forum seems designed to further the interests of its large member firms -- particularly when a given FINRA Arbitration Decision intentionally fails to provide sufficient content and context so as to render it… [read post]
11 Dec 2017, 3:24 am
Frankly, the BrokeAndBroker.com Blog's publisher Bill Singer is having a throw-back Friday and dancin' around in shiny gold Hammer pants. [read post]
12 Jul 2018, 5:35 am
Please contact publisher Bill Singer, Esq. at rrbdlawyer@gmail.com to arrange for the posting of your statement of candidacy and links to your election materials. [read post]
18 Dec 2020, 9:41 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5601/securities-industry-commentator/SEC Order Approving a Proposed Rule Change, to Modify the Provisions Relating to Direct Listings on NYSESecurities Trader Sentenced to 18 Months in Prison for Market Manipulation Scheme that Netted more than $17 Million in Illicit Profits (DOJ Release)SEC Charges Ripple and Two Executives with Conducting $1.3… [read post]
11 May 2018, 4:06 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/3970/securities-industry-commentator/ In today’s Securities Industry Commentator feed: Former Currency Trader Indicted for Participating in Antitrust Conspiracy (DOJ Press Release) Former bank currency trader Akshay Aiyer was indicted in the United States District Court for the Southern District of New York on one count of… [read post]
14 Mar 2016, 3:56 am
FINRA Cites Firm And Director For Email SupervisionBrokeAndBroker.com Blog publisher Bill Singer is known as an unabashed critic of both Wall Street self-regulation and of the industry's leading self-regulatory organization FINRA. [read post]
13 Feb 2023, 3:30 am
Calling All Unreasonable Financial Professionals: a personal message from Bill Singer Esq (BrokeAndBroker.com Blog) Notice Regarding Paxos-Issued BUSD (Consumer Alert / New York State Department of Financial Services) DOJ RELEASES SEC RELEASES SEC Obtains Court Order for Partial Asset Freeze and Other Temporary Relief in Fraud Action Against Microcap Public Company and CEO (SEC Release) Kraken to Discontinue Unregistered Offer and Sale of Crypto… [read post]
13 Apr 2017, 10:43 am
READ Broker Dealer Owner Smoked By FINRA In Cannabis Deal BrokeAndBroker.com Blog publisher Bill Singer, Esq. is a stickler for detail when it comes to disclosures by Wall Street's regulators. [read post]
26 Feb 2016, 9:07 am
The article ends with an exaltation of Murphy's Law and a bit of rambling and musing by our publisher Bill Singer. [read post]
7 Sep 2021, 3:37 am
4 questions for Wall Street fraud expert Bill Singer (Financial Planning Podcast hosted by Julie Coleman)FINRA Suspends Unregistered Female for Following Registered Male Rep's Orders (BrokeAndBroker.com Blog)How the first disabled and woman-owned NYSE floor broker is changing Wall Street (CNBC.com)International Money Launderer Sentenced to More Than 11 Years in Prison for Laundering Millions of Dollars in Cyber Crime Schemes / Defendant Ordered to Pay Victims in U.S. and Elsewhere More… [read post]
28 Dec 2018, 7:13 am
$575 Million Wells Fargo SettlementOn December 28, 2018, Wells Fargo Bank, N.A. entered into a $575 million settlement with all 50 states and the District of Columbia http://brokeandbroker.com/PDF/WF1812SettlAg.pdf that effectively resolves investigations by the states Attorneys General into: Force-Placed Collateral Protection Insurance; Guaranteed Asset/Auto Protection; Mortgage Rate Lock; andSales Practices related to i) consumer and small business checking and savings… [read post]
18 Dec 2017, 3:48 am
http://www.brokeandbroker.com/3735/finra-betting-awc/A recent FINRA regulatory settlement troubles and angers BrokeAndBroker.com Blog publisher Bill Singer, Esq. [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 Receives 10 Year Sentence Following Guilty Plea in South Carolina to Fraud Conspiracy / Masterminded $300 Million Ponzi Scheme… [read post]
