Securities Industry Commentator
RRBDLAW.com
BrokeAndBroker.com
Bill Singer, Attorney at Law
BrokeAndBroker.com
Bill Singer, Attorney at Law
- Case Analysis: SEC Appeal of Jay Alan Ochanpaugh (NASD):Rule 8210; Rule 3030; Failure to Produce Third-Party Documents
- Case Analysis: SEC Appeal of Ryan R. Henry (NASD): Rule 8210; Rule 9552; Art. V, Sec. 2 of By-Laws; Failure to Update CRD Address
- NASD Dissident Movement:The seminal documents
- Case Analysis: SEC Appeal of Paul K. Grassi, Jr. (NYSE):Forged drug prescription; Sanction fairness
- Case Analysis: SEC Appeal of Davrey Financial Services, Inc. and Pravin R. Davrey (NASD): Net Capital; FOCUS; Advertising, Letter of Caution
- Case Analysis: SEC Appeal of Nicholas T. Avello (NASD): Net Capital; FOCUS; Remand; Circuit Court of Appeals; Letter of Caution
- Case Analysis: SEC Appeal of Rooney A. Sahai (NASD):Forgery; Failure to Cooperate
- Case Analysis: SEC Appeal of E. Magnus Oppenheim & Co., Inc. (NASD): Late FOCUS Report
- Case Analysis: SEC Appeal of Michael A. Rooms (NASD): Penny Stock; Obstruction of Investigation
- Case Analysis: SEC Appeal of Harry M. Richardson (NASD): Statutory Disqualification; Permanent Injunction; Bar
- Case Analysis: SEC Appeal of Morton Kantrowitz (NASD): Statutory Disqualification; Permanent Injunction; Guilty Plea
- Case Analysis: SEC Appeal of Guang Lu (NASD): Unauthorized Discretion; U4
- Case Analysis: SEC Appeal of Lee Gura (NASD)
- Case Analysis: In the Matter of James F. Glaza (SEC)
- Case Analysis: Deutsche Bank Securities (NYSE)
- Case Analysis: X, a Former Representative (NYSE Hearing Panel Decision)
- Case Analysis: Fidelity Brokerage Services, LLC (SEC and NYSE)
- New York State Insurance Department Regulation 60 materials
- Case Analysis: SEC Appeal of Chris Dinh Hartley (NASD)
- Case Analysis: Clarke T. Blizzard and Rudolph Abel (SEC/RIA)
- Case Analysis: SEC Appeal of Reuben D. Peters and Peters Securities, Co. LP (NASD)
- Case Analysis: SEC Appeal of Gina M. Guzzone (NASD)
- Case Analysis: NASD Hearing Panel Decision Richard S. Jacobson
- Case Analysis: NASD Hearing Panel Decision Gregory A Eastman
- Case Analysis: SEC Appeal of Anthony H. Barkate (NASD)
- Case Analysis: SEC Appeal of Mark H. Love (NASD)
- Case Analysis: SEC Appeal of Bloomberg L.P. (NYSE)
- Case Analysis: SEC Appeal of Amr Elgindy and Key West Securities, Inc. (from NASD)
- Case Analysis: SEC Appeal of Toni Valentino (from NASD)
- Case Analysis: SEC Appeal of Dane S. Faber (from NASD)
- Inspector Javert: Milkmen, Barbers and Stockbrokers/ 03-04
- Inspector Javert: Running with Blinders/ 03-03
- Inspector Javert: Peeing in the Pool/ 03-02
- Inspector Javert the ex-State Examiner:/03-01
- Goliath versus Goliath (Labranche e-mail controversy)
- NASD Solves Crisis of Confidence on Wall Street: Dramatic Proposals Call for Scrutiny of Bad Guys!
- Singer's Discordant Notes 03-15: SEC Finally Gets It Right
- Singer's Discordant Notes 03-14: Iced Coffee
- Singer's Discordant Notes 03-13: The Great Pretender
- Singer's Discordant Notes 03-12: Wall Street Settlement
- Letter to NASD Requesting Investigation of PRU RR agreement
- Wachovia/Prudential: RRs' Transitional Compensation.
- NASD Consultative Committees
- New Jersey IA rules
- NYS revises IA de minimis exemption
- NASD Regulatory Releases: Disparate Treatment?
- NTM 02-57: Revised Negative Response Letter Policy
- NASD Says: Can't Trust RRs with Wall Street Reform
- SEC Revises Corporate Insider Reporting
- NASD RULE 2711: When Size Matters
- Employee Forgivable Loans: Repayment Defense
- Trying to Trade Out of Financial Woes -- Don't
- In the aftermath of Spitzer/Merrill: Regulatory Sanctions
- Discount Commissions, Online Trading, and Analysts
- Borrowing Money from Customers
- Reappraising Self-Regulation/Part III
- NASDR Rule 3030: Pitfalls of Starting a BD
- Reappraising Self-Regulation/Part II
- Reappraising Self-Regulation/Part I
- Open Letter to NASD: Help Wall Street
- Looking Out for Uâ„¢:The Court's TRO Decision
- SROs: Quasi-Governmental or Private?
- Looking Out for Uâ„¢: In court with a TRO
- The Hidden Danger of Outside Consultants' Reports
- Looking Out for Uâ„¢: Responding to TROs
- Looking Out for Uâ„¢: Quitting Jobs
- The Trader's Edgeâ„¢:Execution and Supervision
- Looking Out for Uâ„¢:NASD's Client Account Transfer Proposal
- Looking Out for Uâ„¢:The TRO
- Online Attacks: Protected Speech or Fraud?
- Looking Out for Uâ„¢: The Association Agreement
- Premiere Edition of Looking Out for Uâ„¢
- Premiere Edition of The Trader's Edgeâ„¢: Series 55
- SEC Brings Internet Smear Case
- On-the-Record Interviews at NASD: Because we say so!
- NASD NTM 01-06: Inter-customer lending
- NASD Proposes Contested Election Amendments
- Cheap Shots, Bona Fides and Last-Minute Regulation
- Wall Street and Felonies Part II: Statutory Disqualification
- Wall Street and Felonies Part I: Form U-4 Disclosures
- NASD's New 3-Quote Rule
- Negative Response Letters
- Digital Signatures and Securities Industry Transactions
- Online BD Margin Practices
- NASDAQ Listing: Bad Boys Beware!
- Can, Will or Should NASD Survive?
- Recordings and Price Predictions (III)
- Your Word Against the Customer's (II)
- Should You Settle or Fight (I)?
- Series 55: Who needs to register?
- NASD Hard-to-Borrow List
- SEC Reverses NYSE Stale Prosecution
- NASD's E-Mail Fiasco!
- Series 55 Deadline Nears
- NASD Demutualization and Regulatory Reform
- Arbitrating Discrimination Matters
- Error Accounts
- On-Line Short Sales
- OTCBB: Recap and symbols
- On-Line Short Sales
- OTCBB:Recap and symbols
- SEC's Microcap Agenda
- NASD to Codify Free-Riding
- Assault on the Floor of the NYSE
- Employment Agreements/Part I
- Employment Agreements/Part II
- Employment Agreements/Part III
- Employment Agreements/Part IV
- New NASD Clearing Firm Rules
- Churning: Definitions and Calculations
- Understanding Scienter and Fraud
- Mutual Fund Switching
- NASD Examination Waivers
- NASD Short Sales Notice to Members
- Your Right To Counsel in NASD On-the-Records
- SEC Amends Rule 504 of Regulation D
- SEC Sustains NASD's 2 Year Jurisdiction in Forgery Case
- Special Commentary: The Day Trading Witch Hunt
- NASD Day Trading Regulation Proposals
- NASD Notice to Members 99-12
- Continuing Commissions After Death, Retirement, or BD's Sale
- Unregistered Order Takers During Volatile Markets
- Sales Practices Violations: Some Clear Definitions from SEC
- NASD Notice to Members 99-11
- NYSE Rule 80A
- NASD Caves in to NASAA Pressure on Arbitration Orders
- SEC Sanctions Website Misconduct
- Aiding and Abetting Part 5 (Graham & Voss)/Supervision
- Aiding and Abetting Part 4 (Havill)/RR's Exposure
- Aiding and Abetting Part 3 (Chema)/RR's Exposure
- Aiding and Abetting Part 2 (Chema)/RR's Exposure
- New U.S. Supreme Court Ruling on Sexual Harassment/Discrimination *
- Aiding and Abetting Part 1(Broumas) /Customer's Scheme
- SEC Brings Case, Loses, and Ordered to Pay Defendant
- SEC Criticizes NASD's Decision to Bar RR
- Private Placement Pitfalls
- NASD's Free-Riding and Withholding Interpretation
- Last Known Addresses on CRD
- Stock Promotion Payments
- SEC v. Olde Discount Part 4/ Sales Practice Abuses
- SEC v. Olde Discount Part 3/ Recruitment and Sales Practices
- SEC v. Olde Discount Part 2/ Compensation Practices
- SEC v. Olde Discount Part 1/ Sanctions
- Money Laundering, Jail, and RRs
- Tough Talk and Threats Gets RR Barred
- Small Firms' Compliance Responsibilities