Bill Singer

Articles by 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.