Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer
Bill Singer
A critic of the inept and incompetent, and an advocate for economic and political sanity. It's a lonely journey but I walk it. Wall Street legal, regulatory, and compliance veteran since 1982.
Claimant alleged that Respondents allowed an unnamed party to use the Company as a conduit
CEO of San Diego Startup Sentenced for Bilking more than $1.5 Million from his Company (DOJ Release)
CFTC Orders Connecticut Firm to Pay $500,000 for Wash Sales (CFTC Release)
FINRA Publishes Helpful Notice About Online Account Takeover (ATO) (BrokeAndBroker.com Blog)