Bill Singer

Just another day in the life of FINRA's arbitration forum.

In November 2009, Dr. Donald Steinberg filed an arbitration claim with the Financial Industry Regulatory Authority alleging a whole host of sins against Morgan Stanley Smith Barney, Citigroup Global Markets Inc. and a...

Many supposedly sophisticated professionals fail to stay on top of their estate planning.

The road to Hell may be paved with good intentions, but stockbroker Earnest Flowers III seems to have found a shortcut...

The first domino in this cascade of disaster fell on Sept. 17, 2008, when an unidentified Merrill Lynch registered representative received an email customer complaint. It said that the representative had entered an...

Suppose that an unhappy investor didn't specifically name you in a lawsuit or arbitration when he complained about your investing advice. You'd think that would get you off the regulatory disclosure hook, right? Think...

Know what you can do—and what you can’t—outside of work.