Skip navigation
Menu

Bill Singer

Bill’s Recent activity

Street Legal: Don't Try This At Work
Street Legal: Don't Try This At Work
Nov 01, 2009
Another month has come and that means another round of Financial Industry Regulatory Authority (FINRA) disciplinary cases. Since it is less painful to learn from the mistakes of others than from your own, I urge you...
FINRA's Dubious Report (Madoff, Stanford, et al.)
Oct 02, 2009
The Financial Industry Regulatory Authority (FINRA) issued an 80 page report on Friday that includes a review of its failings in the Madoff and Stanford scandals. A release about the report reads as follows:
Case by Case
Case by Case
Oct 01, 2009
Perhaps the single most common lament I hear from my stockbroker clients is They can't do that to mecan they? And more often than not, my reply is They can, they will, and they have. In that spirit, let me present you...
Street Legal: On Borrowed Time
Street Legal: On Borrowed Time
Sep 01, 2009
Over the years, I have often been asked about whether a registered representative can borrow money from clients (or in a few cases, lend money to). The answer is either Yes, but or No, but and what comes after that...
Street Legal: Red Flags
Street Legal: Red Flags
Jun 01, 2009
I 'm not saying that FINRA is seeing Communists under every bed, but lately, our regulator is sure seeing a lot of Reds as in red flags. Consider these two recent disciplinary actions. Waving Red Flags Registered...
Let's Go to the Tape
Let's Go to the Tape
Apr 01, 2009
Some brokerage and RIA firms are on the hook, literally, for their advisors' telephone conversations in particular those with a certain number of reps who've previously worked at firms
Dollar Wise?
Mar 01, 2009
Year in and year out I warn you folks to steer clear of the same catalog of violations and, just as surely, many of you take that as a challenge to try to come up with new ways of committing the same old tricks (and...
Load More