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Latest from Bill Singer

Street Legal: No Second Chances in Regulation or Compliance
Regulation & Compliance
Street Legal: No Second Chances in Regulation or ComplianceStreet Legal: No Second Chances in Regulation or Compliance
byBill Singer
Nov 30, 2011
3 Min Read
Street Legal: A Paperwork Shortcut Nearly Short-Circuits a Young Broker's Career
Wirehouse
Street Legal: A Paperwork Shortcut Nearly Short-Circuits a Young Broker's CareerStreet Legal: A Paperwork Shortcut Nearly Short-Circuits a Young Broker's Career
byBill Singer
Nov 1, 2011
3 Min Read

All from Bill Singer

You Sure They Settled that FINRA Arbitration? Really? Why?
Industry News & Trends
You Sure They Settled that FINRA Arbitration? Really? Why?
You Sure They Settled that FINRA Arbitration? Really? Why?
Oct 1, 2011
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3 Min Read
byBill Singer
It's Not Always the Broker's Fault
Regulation & Compliance
It's Not Always the Broker's Fault
It's Not Always the Broker's Fault
Sep 1, 2011
|
3 Min Read
byBill Singer
The Lawyer, the Stockbroker, the Ex-Wife, and the Widow
Regulation & Compliance
The Lawyer, the Stockbroker, the Ex-Wife, and the Widow
The Lawyer, the Stockbroker, the Ex-Wife, and the Widow
Aug 1, 2011
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4 Min Read
byBill Singer
Stockbroker's Career Ends With a TILT
Regulation & Compliance
Stockbroker's Career Ends With a TILT
Stockbroker's Career Ends With a TILT
Jul 1, 2011
|
3 Min Read
byBill Singer
Street Legal: When Off the Clock is On the Record
Industry News & Trends
Street Legal: When Off the Clock is On the Record
Street Legal: When Off the Clock is On the Record
Apr 1, 2011
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3 Min Read
byBill Singer
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Regulation & Compliance
Street Legal: FINRA's Decision on a Financial Advisors' Tweets Is a Lesson for All
Street Legal: FINRA's Decision on a Financial Advisors' Tweets Is a Lesson for All
Mar 15, 2011
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4 Min Read
byBill Singer
Street Legal: Beware the Bankrupt Financial Advisor
Regulation & Compliance
Street Legal: Beware the Bankrupt Financial Advisor
Street Legal: Beware the Bankrupt Financial Advisor
Feb 28, 2011
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3 Min Read
byBill Singer
Street Legal: An Open or Shut Arbitration
Regulation & Compliance
Street Legal: An Open or Shut Arbitration
Street Legal: An Open or Shut Arbitration
Jan 31, 2011
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4 Min Read
byBill Singer
Till Death (And Arbitration) Do Us Part
Regulation & Compliance
Till Death (And Arbitration) Do Us Part
Till Death (And Arbitration) Do Us Part
Dec 31, 2010
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3 Min Read
byBill Singer
Street Legal Dec. 2010: Honor Impugned, Advisor Strikes Back
Regulation & Compliance
Street Legal Dec. 2010: Honor Impugned, Advisor Strikes Back
Street Legal Dec. 2010: Honor Impugned, Advisor Strikes Back
Nov 30, 2010
|
4 Min Read
byBill Singer
Street Legal: When the Best Defense Is a Good Offense
Regulation & Compliance
Street Legal: When the Best Defense Is a Good Offense
Street Legal: When the Best Defense Is a Good Offense
Nov 1, 2010
|
4 Min Read
byBill Singer
Street Legal: Roads Not Taken
Regulation & Compliance
Street Legal: Roads Not Taken
Street Legal: Roads Not Taken
Sep 1, 2010
|
3 Min Read
byBill Singer
A Not-So-Clever Resignation Strategy
Regulation & Compliance
A Not-So-Clever Resignation Strategy
A Not-So-Clever Resignation Strategy
Jul 1, 2010
|
4 Min Read
byBill Singer
FINRA Honor and Principle
Regulation & Compliance
FINRA Honor and Principle
FINRA Honor and Principle
May 1, 2010
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4 Min Read
byBill Singer
Street Legal: A Tale of Two Citis
Wirehouse
Street Legal: A Tale of Two Citis
Street Legal: A Tale of Two Citis
Apr 1, 2010
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4 Min Read
byBill Singer
expenselessons.gif
Regulation & Compliance
Street Legal: Some Expense-ive Lessons
Street Legal: Some Expense-ive Lessons
Feb 1, 2010
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4 Min Read
byBill Singer
The FINRA Gates of Hell
Regulation & Compliance
The FINRA Gates of Hell
The FINRA Gates of Hell
Dec 1, 2009
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4 Min Read
byBill Singer
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Regulation & Compliance
Rep. Bachus Slips One In (Not Everyone Is Cheering)
Rep. Bachus Slips One In (Not Everyone Is Cheering)
Nov 4, 2009
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7 Min Read
byBill Singer
Street Legal: Don't Try This At Work
Regulation & Compliance
Street Legal: Don't Try This At Work
Street Legal: Don't Try This At Work
Nov 1, 2009
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4 Min Read
byBill Singer
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Regulation & Compliance
FINRA's Dubious Report (Madoff, Stanford, et al.)
FINRA's Dubious Report (Madoff, Stanford, et al.)
Oct 2, 2009
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3 Min Read
byBill Singer
Case by Case
Regulation & Compliance
Case by Case
Case by Case
Oct 1, 2009
|
4 Min Read
byBill Singer
Street Legal: FINRA's Member’s-Only Club
Regulation & Compliance
Street Legal: FINRA's Member’s-Only Club
Street Legal: FINRA's Member’s-Only Club
Jul 1, 2009
|
3 Min Read
byBill Singer
Street Legal: Red Flags
Regulation & Compliance
Street Legal: Red Flags
Street Legal: Red Flags
Jun 1, 2009
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4 Min Read
byBill Singer
Street Legal: From Bad To Worse And Back
Regulation & Compliance
Street Legal: From Bad To Worse And Back
Street Legal: From Bad To Worse And Back
May 1, 2009
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3 Min Read
byBill Singer
Let's Go to the Tape
Regulation & Compliance
Let's Go to the Tape
Let's Go to the Tape
Apr 1, 2009
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3 Min Read
byBill Singer
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Regulation & Compliance
Street Legal: Barred Behind Bars
Street Legal: Barred Behind Bars
Feb 1, 2009
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3 Min Read
byBill Singer
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Regulation & Compliance
Street Legal: Ain't What It Used to Be
Street Legal: Ain't What It Used to Be
Nov 1, 2008
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3 Min Read
byBill Singer
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Regulation & Compliance
Street Legal: The “Yes” Man Who Said “No”
Street Legal: The “Yes” Man Who Said “No”
Sep 1, 2008
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4 Min Read
byBill Singer
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Regulation & Compliance
Street Legal: An Un-Settling Problem
Street Legal: An Un-Settling Problem
Jul 1, 2008
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4 Min Read
byBill Singer
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Industry News & Trends
You've Got Mail 2008
You've Got Mail
Jun 1, 2008
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3 Min Read
byBill Singer
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Industry News & Trends
One Too Many For The Road
One Too Many For The Road
Apr 1, 2008
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4 Min Read
byBill Singer
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Industry News & Trends
Atlas Shrugged
Atlas Shrugged
Mar 1, 2008
|
4 Min Read
byBill Singer
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Regulation & Compliance
Spinning Out Of Control
Spinning Out Of Control
Feb 1, 2008
|
3 Min Read
byBill Singer

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