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24 Dec 2020, 3:37 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5614/securities-industry-commentator/Coronavirus Impact on Arbitration Hearings (FINRA Release)Ticketmaster Pays $10 Million Criminal Fine for Intrusions into Competitor’s Computer Systems / Ticketmaster Used Passwords Unlawfully Retained by a Former Employee of a Competitor to Access Computer Systems in Scheme to "Choke Off" the… [read post]
8 Aug 2022, 4:02 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6599/securities-industry-commentator/Overtime at Merrill Lynch Prompts Uneven-Handed FINRA Regulation (BrokeAndBroker.com Blog)Case Allowed to Move Forward Against RobinhoodIn re: January 2021 Short Squeeze Trading Litigation (Securities Tranche) (Order, SDFL)Vancouver, Washington 'Investment Advisor' pleads guilty to defrauding… [read post]
12 Feb 2021, 11:24 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5698/securities-industry-commentator/New Research: Four in 10 American Households Had Difficulty Withstanding a Financial Crisis Before COVID-19 / Financial Resilience Toughest for Millennials, Singles, Women and Those With Lower Incomes, No College Degree and Facing Unemployment (FINRA Release / February 17, 2020)Nobody looks out for retail… [read post]
3 Jan 2020, 4:27 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5000/securities-industry-commentator/Dismissed FINRA Arbitration Against JP Morgan Involves Horrific Backstory (BrokeAndBroker.com Blog)Co-Founder Of Investment Fund Pleads Guilty To Conspiracy, Securities Fraud, Wire Fraud, And Investment Adviser Fraud Charges / Jason Rhodes Pleads Guilty to Participating in Multimillion-Dollar Fraud Scheme (DOJ… [read post]
26 Sep 2022, 3:18 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6683/securities-industry-commentator/SEC Four-Year Strategic Plan Is Generic, Non-Specific, Drivel (BrokeAndBroker.com Blog)How Raymond James bungled oversight of a broker who scammed a 98-year-old (Financial Planning by Tobias Salinger)Two Former eBay Executives Sentenced to Prison for Cyberstalking (DOJ Release)Former Washington state resident… [read post]
20 Mar 2020, 12:47 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5132/securities-industry-commentator/The coronavirus may be deadlier than the 1918 flu: Here’s how it stacks up to other pandemics (CNBC.com by Berkeley Lovelace Jr.)SEC Suspends Trading in the Securities of Zoom Technologies, Inc. [read post]
14 Jun 2019, 6:19 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4648/securities-industry-commentator/Orange is the new black for Aequitas execs as Ponzi nightmare nears end-game with jail time (RIABiz.com by Oisen Breen)Puhlease tell me that it can't be this easy. [read post]
5 Apr 2019, 10:54 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4528/securities-industry-commentator/Wikileaks Founder Charged in Computer Hacking Conspiracy (DOJ Release)Banker's Affair With Customer's Husband Lands Safra in FINRA Arbitration (BrokeAndBroker.com Blog)Get Your Motor Runnin'. [read post]
15 Mar 2019, 6:26 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4492/securities-industry-commentator/I Gave Him 108 Months Because You Can Dance To It and It's Groovy Leader Of Local Hip-Hop Group Is Sentenced To Nine Years For Bank And Wire Fraud Conspiracy And Aggravated Identity Theft Charges (DOJ Release)California Man Sentenced to 50 Months for Fraudulent Bank Accounts (DOJ Release)Former Hedge… [read post]
5 Mar 2021, 9:50 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5735/securities-industry-commentator/GUEST BLOG [In]Securities: Singin’ the Varsity Blues, Part 3: Walkin’ That Lonesome Valley by Aegis Frumento Esq (BrokeAndBroker.com Blog)Law Firm Seeks Litigation Associate (Warren Law Group)Cryptocurrencies a Growing Target of Theft / Charges Against North Korean Hackers Show Cyber Thieves Shifting… [read post]
7 Jan 2022, 11:54 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6239/securities-industry-commentator/Good Vibrations Shoes: a 4 Phase Randomized Program Along with a Lithium Rechargeable Power Source (BrokeAndBroker.com Blog)Former Chief Executive Officer Pleads Guilty To Embezzling More Than $15 Million From Her Employer / The Defendant Admitted to Using the Embezzled Money to Finance Her Luxury Goods… [read post]
21 May 2022, 10:04 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6467/securities-industry-commentator/TradeZero, Meme Stocks, and High Dudgeon From the SEC (BrokeAndBroker.com Blog)94 Days And Counting For FINRA's Independent Review Of Its Arbitration Selection Process (BrokeAndBroker.com Blog)Stephen A. [read post]
12 Sep 2022, 4:45 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6659/securities-industry-commentator/BrokeAndBroker.com Hit With Second 2022 DMCA Takedown Notice After Prevailing in Same Dispute in 2020 (BrokeAndBroker.com Blog)Former SEC Ombudsman Misled Congress, Lied to IG, Probe Alleges (Bloomberg by John Holland)Court orders 'biblically based' RIA and execs to pay $2m over 12b-1 fees (Citywire… [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]
8 Jun 2020, 12:20 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5264/securities-industry-commentator/Brawls Erupt in U.S. [read post]
9 Aug 2019, 11:47 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4748/securities-industry-commentator/Long Title. [read post]
27 Dec 2016, 5:10 am
Note Bill Singer's Comment after each rule section:FINRA Rule 3280. [read post]
10 Oct 2019, 9:00 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4856/securities-industry-commentator/Asheville Man Is Indicted For $13.5 Million Ponzi Scheme / The Defendant Allegedly Defrauded More Than 23 Victims, Including Some at, or Near, Retirement Age (DOJ Release)SEC Issues Statement on Market Structure Innovation for Thinly Traded Securities (SEC Release)The SEC Empire Strikes Back After Reinjuring… [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/5459/securities-industry-commentator/Love In the Time of Covid Expires for SEC (BrokeAndBroker.com Blog)White Plains Financial Adviser Arrested For Embezzlement (DOJ Release)Founders And Executives Of Off-Shore Cryptocurrency Derivatives Exchange Charged With Violation Of The Bank Secrecy Act / Arthur Hayes, Benjamin Delo, Samuel Reed, and… [read post]
10 May 2019, 5:08 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4588/securities-industry-commentator/Wells Fargo Personal Banker Pleads Guilty to Money Laundering Charges (DOJ Release)Opioid Addiction on Wall Street: A Wells Fargo Employee Is Barred (BrokeAndBroker.com Blog)GOZNYM CYBER-CRIMINAL NETWORK OPERATING OUT OF EUROPE TARGETING AMERICAN ENTITIES DISMANTLED IN INTERATIONAL OPERATION / Network Formed… [read post]
