Bill Singer: Street LegalWriter's bio: Bill Singer is the publisher of RRBDLAW.com and BrokeAndBroker.com Street Legal: No Second Chances in Regulation or ComplianceDec 1, 2011By Bill Singer I typically advise my clients to undertake a serious “cold review” of all previously cited problem areas and deficiencies when preparing for their next regulatory exam. ... Street Legal: A Paperwork Shortcut Nearly Short-Circuits a Young Broker's CareerNov 1, 2011By Bill Singer To avoid looking foolish to a customer, the rep makes a terrible choice.... You Sure They Settled that FINRA Arbitration? Really? Why?Oct 1, 2011By Bill Singer Just another day in the life of FINRA's arbitration forum.... It's Not Always the Broker's FaultSep 1, 2011By Bill Singer One FINRA arbitrator gets an expungement request right.... The Lawyer, the Stockbroker, the Ex-Wife, and the WidowAug 1, 2011By Bill Singer Many supposedly sophisticated professionals fail to stay on top of their estate planning.... Street Legal: Stockbroker's Career Ends With a TILTJul 1, 2011By Bill Singer Earnest Flowers III hit all the bumpers and set off all the regulatory bells... Street Legal: The Regulatory Semantics of Customer ComplaintsJun 20, 2011By Bill Singer A manager learns the hard way that wording matters... Street Legal: Blaming, Naming, and FINRA GamingMay 13, 2011By Bill Singer Brokers who go unnamed in complaints may still face disclosure issues... Street Legal: When Off the Clock is On the RecordApr 1, 2011By Bill Singer Know what you can do—and what you can’t—outside of work.... Street Legal: FINRA's Decision on a Financial Advisors' Tweets Is a Lesson for AllMar 15, 2011By Bill Singer, RR Legal Columnist FINRA deemed that an advisor’s tweets about a public company were unbalanced and lacked the necessary disclosure about the “substantial positions” held in the stock by the advisor and her family.... Street Legal: Beware the Bankrupt Financial AdvisorMar 1, 2011By Bill Singer A FINRA arbitration notes personal bankruptcy and credit problems.... Street Legal: An Open or Shut ArbitrationFeb 1, 2011By Bill Singer Repayment of an EFL rested on whether a UBS branch was permanently closed... Street Legal: Till Death (And Arbitration) Do Us PartJan 1, 2011By Bill Singer Advisors can face collateral damage when spouses feud over assets.... Street Legal: Honor Impugned, Advisor Strikes BackDec 1, 2010By Bill Singer FINRA backs an advisor's effort to clear his name... Street Legal: When the Best Defense Is a Good OffenseNov 1, 2010By Bill Singer How FINRA arbitrations can backfire on employers.... Street Legal: The Message and the MediumOct 1, 2010By Bill Singer The SEC warns there are no "private" business communications.... Street Legal: Roads Not TakenSep 1, 2010By Bill Singer There is a troubling lack of uniformity among regulators.... Street Legal: FINRA Arbitration: Sometimes It Pays to SettleAug 1, 2010By Bill Singer Getting your day in court or arbitration may be more costly than you bargained for.... Street Legal: A Not-So-Clever Resignation StrategyJul 1, 2010By Bill Singer Don't change your clients' phone numbers and addresses just before quitting.... Street Legal: The UK Junks Its FSA, When Will We Junk the SEC?
Jun 18, 2010
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