Search RRBDLaw

Previous Entries

• Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

  January 19, 2019

  Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/438... Read On

• Securities Industry Commentator by Bill Singer Esq

  January 18, 2019

  The cold, harsh reality of the ongoing government shutdownIn re: Pending Administrative Proceedings (Order, '33 Act Rel. No. 10602; '34 Act Rel. ... Read On

• Securities Industry Commentator by Bill Singer Esq

  January 17, 2019

  FINRA NAC Affirms OHO Findings that Chief Compliance Officer Failed to Supervise Her Husband, the Firm's PresidentIn the Matter of FINRA Department of... Read On

• Securities Industry Commentator by Bill Singer Esq

  January 16, 2019

  SEC Brings Charges in Edgar Hacking Case (SEC Press Release 2019-1) https://www.sec.gov/news/press-release/2019-1 Two Ukrainian Nationals Indicte... Read On

• Securities Industry Commentator by Bill Singer Esq

  January 15, 2019

  Edward Jones Hit With $2 Million ADA Damages In FINRA Arbitration In the Matter of the Arbitration Between Rodney Hunter Schurg, Claimant, v. Edw... Read On

• Securities Industry Commentator by Bill Singer Esq

  January 14, 2019

  Misguided Unsuitability Allegations ExpungedIn the Matter of the Arbitration Between Richard M. Del Monte, Claimant, vs. Securities America, Inc., Res... Read On

• Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

  January 12, 2019

  Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/437... Read On

Tag Cloud