Bill Singer

Mark DeCambre and Kaja Whitehouse published a story today in the New York Post titled: “Ex-SEC Boss: Not My Fault,” which opened a window onto the thoughts of those charged with regulating Wall Street.

Recent weeks have been tough at my law firm. I hesitate to answer my phone. One client sobs to me about the loss of his savings, his job and his career. Another caller fears the broker/dealer he runs is one net...

Staying on top of new industry rules and regulations is one of the greatest challenges facing registered reps and their supervisors these days. Overnight, long-established practices become violations because of an...

When a regulator fails to mean what it says.

On July 3, 2003, registered representative Douglas J. Toth was named as one of several defendants by the New Jersey Attorney General and the New Jersey Bureau of Securities in a securities fraud civil action that...

Hasty settlements can prove troubling in your future, but they can also be difficult to undo.

Once upon a time, Ma Bell owned the phones, the U.S. Postal Service delivered all the mail, and for emergencies you sent a Western Union telegram. Then came faxes, email, instant messaging, bulletin boards, chat rooms...

On April 28, 2003, the SEC, the NASD, the NYSE and various states announced a $1.4-billion landmark settlement with 10 of Wall Street's largest broker/dealers for failing to provide independent and unbiased research...