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12 Jun 2018, 6:01 am
Tomorrow, our publisher Bill Singer will offer his comments. [read post]
21 Oct 2016, 5:16 am
READWanton Disregard Cited In FINRA Raiding ArbitrationWhen BrokeAndBroker.com Blog publisher Bill Singer gets frustrated, he gets hungry. [read post]
10 Dec 2014, 4:36 am
Military Veterans Win $7.5 Million Employment Dispute Against Goldman SachsWhen BrokeAndBroker.com Blog's Bill Singer describes a FINRA Arbitration Decision as a "disgrace," you have to know that he's really worked up and angry. [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]
10 May 2019, 5:08 am
No. 34-85828; File No. 10-234 / May 10, 2019)https://www.sec.gov/rules/other/2019/34-85828.pdfIn response to the Form 1 application of the Long-Term Stock Exchange, Inc. seeking registration as a national securities exchange, the SEC has granted the application.FINRA Arbitrators Slam JP Morgan Over Defamatory Termination (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4589/FINRA-Arbitration-Mascarenhas/It's a rare thing when our publisher Bill Singer, Esq. is left… [read post]
23 Aug 2019, 2:07 am
A personal note from Bill Singer: As a founder of the NASD and then the FINRA Dissident Movement, I have challenged NASD/FINRA to engage in fairer and more effective regulation. [read post]
13 Aug 2022, 8:55 am
Claimant Wins $57 Million in FINRA Arbitration Award and Once More Around The Loop with Bill Singer (BrokeAndBroker.com Blog)Federal Court Finds SEC Approval of FINRA Reporting Requirements "Arbitrary and Capricious" -- Cites Cost of FINRA Build-OutBloomberg L.P., Petitioner, v. [read post]
14 Oct 2016, 2:16 am
Majestic FINRA Customer Arbitration Decision Grapples With Non Lawyer RoleIt's a rare moment but BrokeAndBroker.com Blog publisher Bill Singer is left speechless. [read post]
21 Jun 2017, 7:42 am
Market Fragility And Interconnectedness http://www.brokeandbroker.com/3508/sec-bauguess-fragility/As a former regulatory lawyer with two different Wall Street self-regulatory organizations, BrokeAndBroker.com Blog publisher Bill Singer is a been-there-done-that industry guy with a keen sense of the politics of regulation. [read post]
6 Feb 2023, 3:08 am
Edward Jones: An Ironic and Cynical Tale of Alleged Discrimination, Harassment, and Retaliation (BrokeAndBroker.com Blog) FINRA Arbitrators Award Customer $144,000 Against Charles Schwab Amid Allegation of Flawed Investment Recommendations (BrokeAndBroker.com Blog) FINRA Arbitrator Denies Indemnification Citing Firm's Failure to Supervise (BrokeAndBroker.com Blog) Calling All Unreasonable Wall Street Professionals by Bill Singer Esq … [read post]
28 Aug 2014, 12:46 pm
Senator Robert Singer and Assemblymen Sean Kean and David Rible (R-30) issued the following statement today regarding the death of Lakewood’s Aaron Sofer. [read post]
4 Dec 2020, 6:16 am
A NOTE FROM BILL SINGER: Today's Securities Industry Commentator is sooooo epic, soooooo lengthy, soooooo fabulous, that we're also publishing it at the BrokeAndBroker.com Blog. [read post]
25 Feb 2021, 12:17 pm
In today's blog, publisher Bill Singer considers a FINRA regulatory settlement that cited alleged misconduct. [read post]
2 Oct 2021, 7:52 am
Publisher Bill Singer offers rare and high praise for the efforts of a FINRA Office of Hearing Officers Hearing Panel and of the National Adjudicatory Council. [read post]
6 Feb 2023, 3:08 am
FINRA Arbitrators Award Customer $144,000 Against Charles Schwab Amid Allegation of Flawed Investment Recommendations (BrokeAndBroker.com Blog) 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… [read post]
22 May 2017, 8:29 am
On May 30, 2017, Bill Singer, Esq., the publisher of the BrokeAndBroker.com Blog, submitted a comment in response to the March 21, 2017, Financial Industry Regulatory Authority (“FINRA”) "Special Notice: Engagement Initiative / FINRA Requests Comment on Potential Enhancement to Certain Engagement Programs / Comment Period Expires May 5, 2017. [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 Former Beulah Bank President Sentenced to Two Counts of Bank Fraud (DOJ Release) Former Bond Trader And Hedge Fund Founder… [read post]
27 Jul 2012, 9:57 am
The headline singer escaped unharmed. [read post]
23 Jul 2009, 11:29 pm
"There is no such thing as a permanent first maneuver advantage," Singer says. [read post]
28 May 2011, 10:06 pm
Singer. [read post]
