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3 May 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/4576/securities-industry-commentator/From the Bank of Spalding (or is that "Spaldeen" ?) [read post]
30 Jul 2019, 9:28 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4735/securities-industry-commentator/District Court Denied Morgan Stanley Injunction In Non Solicitation Case(BrokeAndBroker.com Blog)Modernization of Regulation S-K Items 101, 103, and 105 (SEC Proposed Rule)FINRA Imposes Temporary C&D. [read post]
12 Jun 2020, 6:15 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5278/securities-industry-commentator/Pandemic Travel Patterns Hint at Our Urban Future / A snapshot of global transportation data during six months of coronavirus reveals diverging paths for cities. [read post]
9 Apr 2022, 11:14 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6395/securities-industry-commentator/GUEST BLOG: Advisor Perspectives – An Interview with Recently Transitioned Advisors by Michael King of Michael King Associates (BrokeAndBroker.com Blog)$11M father-daughter decades-long Ponzi scheme ends with guilty pleas for the whole family (Financial Planning by Justin L. [read post]
13 Jun 2022, 7:01 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6502/securities-industry-commentator/GUEST BLOG [In]Securities: Man in the Mirror: The SEC Looks into the Mirror Protocol by Aegis Frumento Esq (BrokeAndBroker.com Blog)Dramatic Development in FINRA Small Firm Board of Governors Petition Race / Candidate David Sukoff Suspends Campaign in Favor of Former Governor Stephen KohnFINRA Cybersecurity… [read post]
14 Nov 2022, 3:08 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6767/securities-industry-commentator/FINRA Fines and Suspends Former SagePoint Rep Who Didn't Actually Know Anything (BrokeAndBroker.com Blog)Brokerage Firm Sues Former Stockbroker for Indemnity After Paying Customer Settlement (BrokeAndBroker.com Blog)SEC Chair Gensler Speaks About Shakespeare and Hammurabi While FTX Dissolves… [read post]
2 Jan 2018, 3:15 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer. [read post]
31 Jul 2020, 4:48 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5362/securities-industry-commentator/SEC Finds It Has Jurisdiction To Review FINRA's Denial of Access to Its Arbitration ForumIn the Matter of the Consolidated Arbitration Applications for Review of Action Taken by FINRA (SEC Order)9Cir Reverses and Remands SEC v. [read post]
21 Aug 2020, 12:18 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5398/securities-industry-commentator/Vanguard shifting prime money market fund to safer U.S. [read post]
29 Jan 2021, 6:48 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5675/securities-industry-commentator/SMARTMATIC USA CORP., SMARTMATIC INTERNATIONAL HOLDING B.V., and SGO CORPORATION LIMITED, Plaintiffs, v. [read post]
26 Apr 2019, 1:47 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4564/securities-industry-commentator/"Protecting Investors from Misconduct / FINRA Requests Comment on Proposed New Rule 4111 (Restricted Firm Obligations) Imposing Additional Obligations on Firms with a Significant History of Misconduct" (FINRA Regulatory Notice 19-17) Bottle of White, Bottle of Red, Perhaps An Assisted… [read post]
3 Jan 2021, 7:28 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5627/securities-industry-commentator/GUEST BLOG [In]Securities: No-Hopers, Jokers and Rogues By Aegis Frumento Esq (BrokeAndBroker.com Blog)Boeing Charged with 737 Max Fraud Conspiracy and Agrees to Pay over $2.5 Billion (DOJ Release)Russian Hacker Sentenced To 12 Years In Prison For Involvement In Massive Network Intrusions At U.S. [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/5168/securities-industry-commentator/It’s Not Just the WHO: How China Is Moving on the Whole U.N. / Despite his saber-rattling, Trump’s pullback actually helps Beijing in its new, inside-baseball strategy to build influence (Politico by Kristine Lee)Federal Courts Consider Disturbing FINRA Customer Arbitration… [read post]
25 Feb 2021, 12:17 pm
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5723/securities-industry-commentator/High Standards In Low Places on Wall Street (BrokeAndBroker.com Blog)Phishing Email Purporting to Be From FINRA / FINRA Alerts Firms to Phishing Email Using "finra-online.com" Domain Name (FINRA Regulatory Notice)9Cir Reverses SLUSA Dismissal of Investors' Class Action Against Edward JonesEdward… [read post]
30 Jan 2020, 12:46 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5048/securities-industry-commentator/Running on Empty: A Proposal to Fill the Gap Between Regulation and Decentralization (Speech by SEC Commissioner Commissioner Hester M. [read post]
17 Jan 2020, 12:06 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5023/securities-industry-commentator/OCC Issues Notice of Charges Against Five Former Senior Wells Fargo Bank Executives, Announces Settlement With Others (OCC Release)Did a Federal Court Mistakenly Deem FINRA a Federal Prosecutor? [read post]
1 Mar 2019, 10:19 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4467/securities-industry-commentator/Wooster man indicted after making threats purporting to be from women associated with an adult website (DOJ Release)Foiling an Elder Fraud Scam / Former FBI Director Webster Assists Investigation (FBI Release)Equity Market Structure 2019: Looking Back & Moving Forward (Remarks at the Gabelli… [read post]
3 Oct 2022, 3:27 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6695/securities-industry-commentator/The Disappearing Act of Elder Abuse in a TD Ameritrade FINRA Arbitration (BrokeAndBroker.com Blog)SEC Four-Year Strategic Plan Is Generic, Non-Specific, Drivel (BrokeAndBroker.com Blog)The IPO Bust Blew a $575 Million Hole in Law Firm Revenue (Bloomberg Law by Roy Strom)Wall Street Regulator Eliminates Cap on… [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]
27 Nov 2020, 12:05 pm
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5566/securities-industry-commentator/Customer's Annuities Lawsuit Backfires During FINRA Arbitration (BrokeAndBroker.com Blog)Brummer v. [read post]
