Bill Singer

Street Legal: No Second Chances in Regulation or Compliance
I typically advise my clients to undertake a serious “cold review” of all previously cited problem areas and deficiencies when preparing for their next regulatory exam.
Street Legal: A Paperwork Shortcut Nearly Short-Circuits a Young Broker's Career
To avoid looking foolish to a customer, the rep makes a terrible choice.
You Sure They Settled that FINRA Arbitration? Really? Why?
Just another day in the life of FINRA's arbitration forum.
It's Not Always the Broker's Fault
One FINRA arbitrator gets an expungement request right.
The Lawyer, the Stockbroker, the Ex-Wife, and the Widow
Many supposedly sophisticated professionals fail to stay on top of their estate planning.
Stockbroker's Career Ends With a TILT 1
Earnest Flowers III hit all the bumpers and set off all the regulatory bells
Street Legal: The Regulatory Semantics of Customer Complaints
A manager learns the hard way that wording matters
Street Legal: Blaming, Naming, and FINRA Gaming
Brokers who go unnamed in complaints may still face disclosure issues
Street Legal: When Off the Clock is On the Record
Know what you can do—and what you can’t—outside of work.
Street Legal: FINRA's Decision on a Financial Advisors' Tweets Is a Lesson for All
FINRA deemed that an advisor’s tweets about a public company were unbalanced and lacked the necessary disclosure about the “substantial positions” held in the stock by the advisor and her family.
Street Legal: Beware the Bankrupt Financial Advisor
A FINRA arbitration notes personal bankruptcy and credit problems.
Street Legal: An Open or Shut Arbitration
Repayment of an EFL rested on whether a UBS branch was permanently closed
Till Death (And Arbitration) Do Us Part
Advisors can face collateral damage when spouses feud over assets.
Street Legal Dec. 2010: Honor Impugned, Advisor Strikes Back
FINRA backs an advisor's effort to clear his name
Street Legal: When the Best Defense Is a Good Offense
How FINRA arbitrations can backfire on employers.
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