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Topic List for Securities (239 results)
It's All Over Now: My 42-year Wall Street Journey by Bill Singer, Esq.
January 30, 2024
Securities Industry Commentator by Bill Singer Esq
December 26, 2023
Securities Industry Commentator by Bill Singer Esq
December 8, 2023
BrokeAndBroker.com Blog by Bill Singer Esq
November 10, 2023
FINRA Can't Quite Put a Name On It: Perjury or False Testimony or Misleading Testimony
July 31, 2023
Securities Industry Commentator WEEK IN REVIEW by Bill Singer Esq
July 8, 2023
Securities Industry Commentator by Bill Singer Esq
May 5, 2023
FINRA Bars former Securities America Rep For Conversion
April 21, 2023
2Cir Remands to EDNY Disparate Sentence in Boiler Room Pumping
April 17, 2023
GUEST BLOG: [In]Securities: The Influencers: The SEC Grounds Stars' TRX by Aegis Frumento Esq
March 31, 2023
GUEST BLOG: [In]Securities: Wanting to Break Free: The Delaware Chancery Court Strikes Down Cantor Fitzgerald's Non-Compete Clauses by Aegis Frumento Esq
March 24, 2023
GUEST BLOG: [In]Securities: No Silver Linings for Silver Edge: How Not to Sell Pre-IPO Funds by Aegis Frumento Esq
March 10, 2023
GUEST BLOG: [In]Securities: DOJ Rides a Horse with No Name: Rule 10b5-1 Plans Cannot be Fraudulently Misused
March 3, 2023
Welcome to the BrokeAndBroker.com Blog and the Securities Industry Commentator Feed
March 1, 2023
Bill Singer Slams Garbage Regulation on Wall Street
January 25, 2023
Did You Hear The One About The Zombie Who Requested An IRA Distribution?
January 9, 2023
Federal Court Denies Reconsideration of FINRA Referral Letter Cited In Federal Insider Trading Appeal
December 19, 2022
Intellivest Securities Hunts Down Raiders Who Allegedly Gutted The Brokerage Firm
December 12, 2022
Brokerage Firm Sues Former Stockbroker for Indemnity After Paying Customer Settlement
November 17, 2022
FINRA Arbitrators Slam Losing Respondents with Hearing Fees in Breach of Contract Dispute
November 10, 2022
The Cyberfraud Prevention Fraud, The Impeded Whistleblowing, and The Dissenting SEC Commissioner
November 4, 2022
Securities Industry Commentator by Bill Singer Esq
September 26, 2022
GUEST BLOG: [In]Securities: Trading Cards as a Meditation: Are NTFs Securities? by Aegis Frumento Esq
September 9, 2022
Unsettling Settlement Puts FINRA's Board of Governors in Troubling Light
August 29, 2022
GUEST BLOG: [In]Securities: Puff!: The SEC Slays DRGN by Aegis Frumento Esq
August 26, 2022
GUEST BLOG: [In]Securities: A Hard Rain's A-Gonna Fall: A Whistleblower Retaliation Case Washes Out by Aegis Frumento Esq
August 19, 2022
Federal Court Denies Legend Securities President Bankruptcy Discharge of FINRA Customer Arbitration Award
August 10, 2022
GUEST BLOG: [In]Securities: Lip Service: The SEC, Reg S-ID, and the Majestic Equality of Regulation by Aegis Frumento Esq
August 5, 2022
GUEST BLOG: [In]Securities: They're All Here: The Three Circles of Securities Fraud Hell by Aegis Frumento Esq
July 22, 2022
FINRA Arbitration Combines Circular Logic With a Nested Loop and a Mobius Strip in Wage Dispute
July 18, 2022
GUEST BLOG: [In]Securities: Watching You: The SEC Walks the Beat by Aegis Frumento Esq
July 15, 2022
Boustead Securities Survives Motion to Dismiss in Success Fee Dispute
July 13, 2022
GUEST BLOG [In]Securities: Lyin' Eyes: Securities Fraud or Just Plain Fraud? by Aegis Frumento Esq
July 8, 2022
GUEST BLOG [In]Securities: Highwaymen: The SEC Pulls Off a Brinks Heist by Aegis Frumento Esq
July 1, 2022
GUEST BLOG [In]Securities: Jive Talkin': The SEC Busts a Braggin' Broker by Aegis Frumento Esq
June 24, 2022
JP Morgan Securities Sued for Over $10 Million in Team Dissolution FINRA Arbitration
June 22, 2022
GUEST BLOG [In]Securities: Man in the Mirror: The SEC Looks into the Mirror Protocol by Aegis Frumento Esq
June 17, 2022
Securities Industry Commentator by Bill Singer Esq
June 13, 2022
GUEST BLOG [In]Securities: Buck Nekkid: The SEC on Full Frontal Disclosure by Aegis Frumento Esq
June 10, 2022
J.P. Morgan Securities Demolished In FINRA Non-Solicitation Arbitration
June 6, 2022
FINRA Torches Small Brokerage Firm Over Due Diligence Procedures
May 10, 2022
FINRA Referral Letter Cited In Federal Insider Trading Appeal
March 30, 2022
FINRA and SEC Continue Dakota / Zipper Ping Pong Game of Dubious Regulation
March 18, 2022
Securities Industry Commentator by Bill Singer Esq
February 10, 2022
Securities Industry Commentator by Bill Singer, Esq
January 6, 2022
FINRA Arbitrator Won't Rewrite Indemnification Clause
December 20, 2021
Federal Circuit Court Sustains Registered Rep's Conviction and Sentence of 90 Months
October 18, 2021
FINRA NAC Affirms OHO But Eliminates Heightened Supervision
October 4, 2021
GUEST BLOG [In]Securities: To Grand Central Station by Aegis Frumento Esq
September 11, 2021
DBS Throws Director Under the FINRA Regulatory Bus
August 24, 2021
Securities Industry Commentator by Bill Singer Esq
August 6, 2021
GUEST BLOG [In]Securities: Everybody Knows by Aegis Frumento Esq
July 23, 2021
GUEST BLOG [In]Securities: Tell Me Lies by Aegis Frumento Esq
July 9, 2021
FINRA Sanctions Rep and Sanctuary Securities Over NT-ETFs
July 7, 2021
Federal Court Puts the Confidential Back Into Confidential Settlement Agreement
July 2, 2021
SEC Sanctions Guggenheim Securities For Anti-Whistleblower Confidentiality Agreement
June 28, 2021
GUEST BLOG [In]Securities: Bird on a Wire by Aegis Frumento Esq
June 18, 2021
GUEST BLOG [In]Securities: Oh No by Aegis Frumento Esq
May 21, 2021
GUEST BLOG [In]Securities: Mind Games by Aegis Frumento Esq
May 7, 2021
Insult Added to Injury in Puerto Rico Bond Dispute
April 16, 2021
Desperately Seeking FINRA Arbitration On Remand From Federal Court
April 15, 2021
Federal Circuit Court Says Head Scratchin' Act Not Proof of Securities Fraud Scienter
April 12, 2021
GUEST BLOG [In]Securities: The Impossible Dream by Aegis Frumento Esq
March 26, 2021
11 Cir Sees No Breach of Contract by Ohio National in Variable Annuity Commissions Lawsuit
March 22, 2021
Securities Industry Commentator by Bill Singer
March 16, 2021
GUEST BLOG [In]Securities: Singin' the Varsity Blues, Part 3: Walkin' That Lonesome Valley by Aegis Frumento Esq
March 12, 2021
Securities Industry Commentator by Bill Singer Esq
February 24, 2021
GUEST BLOG [In]Securities: Instant Karma By Aegis Frumento Esq
February 19, 2021
NEWSFLASH: FINRA Observes Bad Actors In the Markets
February 11, 2021
GUEST BLOG [In]Securities: Soon May the Tendieman Come By Aegis Frumento Esq
February 5, 2021
A Modern Tale of Cybercriminals, Fake ID, and a FINRA Arbitration
January 25, 2021
GUEST BLOG [In]Securities: A Worried Song By Aegis Frumento Esq
January 22, 2021
Securities Industry Commentator by Bill Singer Esq
January 13, 2021
GUEST BLOG [In]Securities: No-Hopers, Jokers and Rogues By Aegis Frumento Esq
January 8, 2021
Last Dance for FINRA's Zipper? Nope, SEC Says Let's Do It Again
December 28, 2020
GUEST BLOG [In]Securities: Ringing Out for Christmas Day By Aegis Frumento Esq
December 24, 2020
GUEST BLOG [In]Securities: Sometimes, a Man of Peace By Aegis Frumento Esq
December 11, 2020
GUEST BLOG [In]Securities: Missing a Crowded Table By Aegis Frumento Esq
November 25, 2020
GUEST BLOG [In]Securities: Eggs from the Golden Goose By Aegis Frumento Esq
November 20, 2020
[In]Securities Guest Blog: Singing An American Tune By Aegis Frumento Esq
November 6, 2020
Securities Industry Commentator by Bill Singer Esq
November 3, 2020
[In]Securities Guest Blog: A Different Kind of Truth By Aegis Frumento Esq
October 23, 2020
FINRA Fines Small Firm And its Owner For Misclassification of Expenses
October 21, 2020
Rep Sentenced to 90 Months in Federal Prison On 21 Counts
October 19, 2020
[In]Securities Guest Blog: Don't Know Much by Aegis Frumento Esq
October 9, 2020
Love In the Time of Covid Expires for SEC
October 2, 2020
Securities Industry Commentator by Bill Singer Esq
October 1, 2020
Securities Industry Commentator by Bill Singer Esq
September 30, 2020
Securities Industry Commentator by Bill Singer Esq
September 29, 2020
Securities Industry Commentator by Bill Singer Esq
September 28, 2020
[In]Securities Guest Blog: tZero/No Limit by Aegis Frumento Esq
September 25, 2020
Securities Industry Commentator by Bill Singer Esq
September 21, 2020
Securities Industry Commentator by Bill Singer Esq
September 18, 2020
Securities Industry Commentator by Bill Singer Esq
September 14, 2020
Securities Industry Commentator by Bill Singer
September 4, 2020
Securities Industry Commentator by Bill Singer Esq
August 31, 2020
Securities Industry Commentator by Bill Singer Esq
August 14, 2020
[In]Securities Guest Blog: Take it Easy by Aegis Frumento Esq
August 13, 2020
The Securities Industry Commentator by Bill Singer Esq
August 7, 2020
[In]Securities Guest Blog: The Royal Scam by Aegis Frumento Esq
August 6, 2020
[In]Securities Guest Blog: Out of Touch, Out of Luck by Aegis Frumento Esq
July 30, 2020
[In]Securities Guest Blog: When You Don't Know What It Is by Aegis Frumento Esq
July 23, 2020
[In]Securities Guest Blog: Click Boom by Aegis Frumento Esq
July 16, 2020
[In]Securities Guest Blog: Good, Bad and Ugly by Aegis Frumento Esq
July 9, 2020
Securities Industry Commentator by Bill Singer Esq
July 7, 2020
[In]Securities Guest Blog: Freedom Flashing by Aegis Frumento Esq
July 3, 2020
[In]Securities Guest Blog: Manicula's Gopher by Aegis Frumento Esq
June 25, 2020
[In]Securities Guest Blog: Gambling Man by Aegis Frumento Esq
June 19, 2020
Securities Industry Commentator by Bill Singer Esq at BrokeAndBroker.com
June 12, 2020
[In]Securities Guest Blog: School's Out for Summer by Aegis Frumento Esq
June 11, 2020
[In]Securities Guest Blog: As Hollow as it Seems by Aegis Frumento Esq
June 4, 2020
[In]Securities Guest Blog: The End of the Line by Aegis Frumento Esq
May 28, 2020
[In]Securities Guest Blog: Dear Prudence by Aegis Frumento Esq
May 21, 2020
[In]Securities Guest Blog: Troubled Water Over the Bridge by Aegis Frumento Esq
May 14, 2020
Securities Industry Commentator by Bill Singer Esq
May 12, 2020
Securities Industry Commentator by Bill Singer
May 11, 2020
[In]Securities Guest Blog: Marconi Plays the Mamba by Aegis Frumento Esq
May 7, 2020
[In]Securities Guest Blog: Get What You Need by Aegis Frumento Esq
April 30, 2020
[In]Securities Guest Blog: Life's for the Living by Aegis Frumento Esq
April 23, 2020
[In]Securities Guest Blog: Small Worlds by Aegis Frumento Esq
April 16, 2020
Texas Court of Appeals Reverses $3 Million TD Ameritrade Customer Victory
April 15, 2020
Securities Industry Commentator by Bill Singer Esq
April 14, 2020
[In]Securities Guest Blog: Hello In There by Aegis Frumento Esq
April 9, 2020
No Membership Port In A Regulatory Storm For Newport Coast Securities
April 7, 2020
Securities Industry Commentator by Bill Singer Esq
April 6, 2020
[In]Securities Guest Blog: Breathless by Aegis Frumento Esq
April 2, 2020
Registered Rep Goes Down for the Count -- All 21 of Them
April 1, 2020
Securities Industry Commentator by Bill Singer, Esq
March 27, 2020
[In]Securities Guest Blog: In Dreams by Aegis Frumento Esq
March 26, 2020
[In]Securities Guest Blog: Who's Zoomin' Who by Aegis Frumento Esq
March 19, 2020
Citizens Securities Wins TRO in Non-Solicitation Federal Court Action
March 16, 2020
[In]Securities Guest Blog: Not Going Back to My Old School by Aegis Frumento Esq
March 12, 2020
[In]Securities Guest Blog: The Fever by Aegis Frumento Esq
March 5, 2020
Securities Industry Commentator by Bill Singer Esq
February 28, 2020
[In]Securities Guest Blog: Blinded by the Light by Aegis Frumento Esq
February 27, 2020
Securities Industry Commentator by Bill Singer Esq
February 21, 2020
[In]Securities Guest Blog: Something Built to Last by Aegis Frumento Esq
February 20, 2020
Cannabis Science Case Smokes Definition of Brokerage Customer
February 19, 2020
Securities Industry Commentator by Bill Singer
February 14, 2020
Securities Industry Commentator by Bill Singer
February 12, 2020
[In]Securities Guest Blog: Rolled Up and Smoked by Aegis Frumento Esq
January 30, 2020
[In]Securities Guest Blog: Driving That ESOP Trolley by Aegis Frumento Esq
January 23, 2020
In Today's Securities Industry Commentator
January 21, 2020
[In]Securities Guest Blog: Drunk on a Plane by Aegis Frumento Esq
January 16, 2020
In Today's Securities Industry Commentator
January 15, 2020
[In]Securities Guest Blog: Born to be Wild by Aegis Frumento Esq
January 9, 2020
[In]Securities Guest Blog: And So This Is Christmas by Aegis Frumento Esq
December 24, 2019
[In]Securities Guest Blog: Not Dead Again Today? by Aegis Frumento Esq
December 19, 2019
Featured in Today's Securities Industry Commentator
December 18, 2019
[In]Securities Guest Blog: Lawyers, Guns and Money by Aegis Frumento Esq
December 12, 2019
In Today's Securities Industry Commentator
December 6, 2019
[In]Securities Guest Blog: WeWork Works It Out by Aegis Frumento Esq
December 5, 2019
[In]Securities Guest Blog: Still a Wonderful World by Aegis Frumento Esq
November 27, 2019
In Today's Securities Industry Commentator
November 22, 2019
[In]Securities: Who'll Be Watching Whom? by Aegis Frumento Esq
November 21, 2019
[In]Securities Guest Blog: What's My Name? by Aegis Frumento Esq
November 14, 2019
Featured in Today's Securities Industry Commentator
November 13, 2019
[In]Securities Guest Blog: Wishin' I Was Stoned by Aegis Frumento Esq
November 7, 2019
[In]Securities Guest Blog: Everybody Knows by Aegis Frumento Esq
October 31, 2019
[In]Securities Guest Blog: The Man in the Long Black Coat by Aegis Frumento Esq
October 24, 2019
Featured in Today's Securities Industry Commentator by Bill Singer Esq
October 23, 2019
[In]Securities Guest Blog: Make It So by Aegis Frumento Esq
October 17, 2019
[In]Securities Guest Blog: Money for Nothing by Aegis Frumento
October 10, 2019
Astounding 20 Criminal, Regulatory, and Compliance Cases Featured in Securities Industry Commentator
October 1, 2019
[In]Securities GUEST BLOG: Fantasy by Aegis Frumento Esq
September 26, 2019
[In]Securities GUEST BLOG: Hit the Road, Jack by Aegis Frumento Esq
September 19, 2019
FINRA's JPM Omelet Ends With Egg On the Regulator's Face
September 17, 2019
[In]Securities GUEST BLOG: Not the One You Need by Aegis Frumento Esq
September 12, 2019
[In]Securities GUEST BLOG: Walk Like a Man by Aegis Frumento, Esq
September 5, 2019
Some BS from FINRA in Small Firm AWC
July 8, 2019
UPDATE: Banker's Affair With Customer's Husband Lands Safra In FINRA Arbitration
April 29, 2019
Banker's Affair With Customer's Husband Lands Safra in FINRA Arbitration
April 12, 2019
FINRA Arbitration Costs National Securities In Promissory Note Case
February 27, 2019
Former National Securities Corp President/CEO Sues Firm In FINRA Expungement Case
February 12, 2019
Legal, Regulatory, and Compliance Feed For Wall Street Professionals and Serious Investors
January 23, 2019
Hot Nepal Real Estate Market Burns Stockbroker With FINRA Fine and Suspension
January 11, 2019
Former First Republic Securities Employee Wins $1.1 Million FINRA Arbitration Award
December 4, 2018
Getting Stoned Takes On New Meaning Plus Bonus Grandparent Alert
November 21, 2018
Live from Columbus's Fourth Ship, the Pina Colada: Bill Singer Esq Reports on Wall Street
October 8, 2018
Last Dance? SEC Hopes It Has Finally Zipped Zipper Appeals
October 3, 2018
Double Standard? FINRA Fines and Suspends Wells Fargo Employee For 382 Unauthorized Trades
September 28, 2018
The Securities Industry Commentator, a daily Wall Street legal, regulatory, and compliance feed
September 19, 2018
In Memoriam 9/11
September 11, 2018
The 93 Year Old Customer with Dementia, The Guardian, The Stockbroker, and the Compliance Officer
July 30, 2018
UPDATE:Non-Attorney Representatives Involved In FINRA Arbitration Blight
July 23, 2018
Zipper Plays Sisyphus to FINRA's Zeus
June 21, 2018
2 Lies to FINRA Add Up to 1 Bar
June 4, 2018
FINRA Stretches Definition of Participating in a Private Securities Transaction
May 18, 2018
FINRA Hardship Waiver Hard To Find
May 4, 2018
Disturbing FINRA Settlement Involving Elderly Client With Dementia
March 13, 2018
Non-Attorney Representatives Involved In FINRA Arbitration Blight
March 1, 2018
FINRA Proposes Consolidation of Outside Business Activities and Private Securities Transactions Rules
February 28, 2018
Broker Dealer Wins Indemnification Arbitration Against Stockbroker
February 27, 2018
30 Months Of Violations Under FINRA's Nose
February 16, 2018
SEC Zaps Zipper's Second Stay Request
February 7, 2018
FINRA Dispute Hangs Out As SEC Unzips Zipper Appeal
January 16, 2018
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
December 2, 2017
UPDATE: SEC Says No Mulligans For FINRA Settlements
November 29, 2017
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
November 11, 2017
Fixer Upper Biz Puts Stockbroker In Need of Career Renovation
October 9, 2017
SEC Says No Mulligans For FINRA Settlements
October 3, 2017
Weight Management Company Weighs Heavily on Stockbroker's Career
August 29, 2017
FINRA Calls PST Then OBA Then PST. Omaha! Omaha!! Omaha!!!
August 28, 2017
Sewage Release By Wall Street Regulators
August 24, 2017
FINRA Public Customer Arbitration Decision Becomes A Legend
August 23, 2017
Stifel Prevails In Arbitration But Former Hilltop Employees Hit With Awards
August 21, 2017
Federal Prosecutors Throw In Towel Against Benjamin Wey
August 9, 2017
BREAKING NEWS: Supreme Court Affirms 3 Year Limit in CalPERS v. ANZ
June 26, 2017
FINRA Buries the Lede With FAS Rep Settlement
June 26, 2017
BREAKING NEWS: FINRA Wins Round One of Scottsdale 144 Case
June 21, 2017
Benjamin Wey Wins Suppression Order In Securities Fraud Criminal Case
June 19, 2017
Promissory Notes Sales Cause FINRA Domino Effect
February 1, 2017
Tax Liens and Wall Street Disqualification
January 12, 2017
FINRA Rule 3280 Private Securities Transactions Analysis by Bill Singer
December 30, 2016
Federal Judge Says What She Means In ARS Case
November 30, 2016
FINRA Sanctions Lack of Proactive Compliance
November 3, 2016
Defunct Broker-Dealer Loses No-Show Arbitration With Non-Lawyer
October 13, 2016
Caveat Emptor Proves True In Purchase Of Troubled Broker Dealer
October 11, 2016
NY Life Rep Crosses Arbitration Rubicon With Expungement Case
September 28, 2016
Stockbroker Slips Off Plymouth Rock Movie Studio Deal
September 22, 2016
FINRA Settlement Enters the RIA and BD Jungle
August 23, 2016
Lonely Game of Masquerade As FINRA Hides Two Entire Countries
June 29, 2016
BREAKING STORY: FULL TEXT SEC Complaint and DOJ Indictment and Information in Dean Foods Insider Trading Case
May 19, 2016
Columbia Business School Professor Gets Prison For investor Fraud
May 18, 2016
Approved Outside Business Activity Morphs Into A Troubling Private Securities Transaction
April 27, 2016
Texas Investor Guide: Strategies for Investing Wisely and Avoiding Financial Fraud
February 12, 2016
UPDATE: The Oxford Graduate Who Hadn't, Sent the Check That Didn't Arrive, For the Investment That Wasn't
January 21, 2016
Stockbroker Fined and Suspended Over Limited Partnerships and Notes
October 21, 2015
A Little Biz On The Side Gets Rep Fined And Suspended
October 14, 2015
Money For Nothing And The Stocks Are Free (Sort of)
October 5, 2015
SEC Rejects Appeal By Failed Buyer of FINRA Broker Dealer
October 1, 2015
Stockbroker Fired and Barred For Role With Privately Held Company
August 24, 2015
Major Fine Slams FINRA Firm For Supervisory Violations
July 22, 2015
What Would Hillary Do? FINRA Cites AOL Email Account And Gold / Bank Investments
May 27, 2015
US Attorney and SEC Charge Investment Advisor In $20 Million Fraud
April 17, 2015
Online Coupon Business Cuts Registered Person
March 6, 2015
Supervisor Fined, Suspended, and Barred In Ponzi Fiasco
March 4, 2015
Lawsuit Says FINRA Guilty of Deliberate, Retaliatory,and Malicious Conduct
February 2, 2015
Chinese Pharma Private Securities Transactions
January 23, 2015
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