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BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW

April 14, 2018

FINRA Books Outside Business Activity Fine And Suspension (BrokeAndBroker.com Blog)
http://www.brokeandbroker.com/3920/finra-oba-/
 April 13, 2018
Today's BrokeAndBroker.com Blog examines the curious case of a stockbroker acting as an agent for the collector of rare books. Sort of sounds like a movie plot. Be that as it may, we have a ten-year-long pattern of conduct that FINRA doesn't quite like. As the self-regulator is apt to do, it suspends and fines the guy. When it comes to a fine, howsabout we impose something like, say, ummm, okay, $1,000 to, what's a nice high-end number?, yeah, $5,000. What am I talking about? Well, what are you talking about? You never heard of a fine between $1,000 and $5,000? You never made a dinner reservation for 6 p.m. to 10 p.m.?

http://www.brokeandbroker.com/3918/felony-awc-finra/
Drinking and driving is never a good idea. In today's BrokeAndBroker.com Blog, we cover yet another instance of the impact of drinking, driving, felony charges, and felony pleas on a registered representative's Wall Street career. It is a sobering message.

Oppenheimer And Euro Pacific Duke It Out In $35 Million Unfair Competition Arbitration (BrokeAndBroker.com Blog)
http://www.brokeandbroker.com/3916/oppenheimer-euro-pacific-finra/
Today's BrokeAndBroker.com Blog presents an old-fashioned knock-down-drag-out fight involving former employer Euro Pacific Capital, its former employee Steven Savoy, and his new employer Oppenheimer & Co. From the opening bell, it's obvious that there's more than a tad of bad blood between the former employer and employee. We got Euro Pacific comin' out swingin' and seeking to land a knock-out in the form of an extensive permanent injunction. In fact, before Euro even gets into the FINRA arbitration ring, the firm gets in a few shots during a preliminary bout in federal court. The fans were expecting a tag team between Oppenheimer and Savoy but the latter was nowhere to be found.

LPL, RR, BD, IRS, U5, FINRA, And AWC (BrokeAndBroker.com Blog)
http://www.brokeandbroker.com/3914/finra-irs-awc/
A word to the wise: It's tax season! A word to the wary: It's tax season! As folks are scrambling around to come up with the funds for this year's tax bite, it's inevitable that many will come up short. Some will beg. Some will borrow. Some will steal. It's easy enough to urge you to keep a close eye on transfers out of your bank and brokerage accounts, but what about your elderly grandparents, parents, and other family-members and friends? Similarly, what about those in failing health that compromises their abilities to monitor their finances? Today's BrokeAndBroker.com Blog sets off a bright, red warning flare in the form of a Financial Industry Regulatory Authority settlement involving a wayward stockbroker who apparently engaged in a bit of self-help when it came to paying her taxes.

The Record Straight By Bill Singer, Esq. (BrokeAndBroker.com Blog) 
http://www.brokeandbroker.com/3912/brummer-finra-singer/
I am angered by reports that article(s) have appeared online that allegedly use my image (without my express permission) and attribute comments to me that I deem a grotesque distortion of what I believe, have stated and/or published. Similarly, I post online comments using my own name with links back to my websites or social media; and any purported postings by a "Bill" that imply my authorship are fraudulent to that extent.

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