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Bill Singer, Attorney at Law
VISIT THE STATUTORY DISQUALIFICATION INDEX
2007 Articles
New York State Insurance Department Regulation 60
2006 Articles
Case Analysis: SEC Appeal of Jay Alan Ochanpaugh (NASD):
Rule 8210; Rule 3030; Failure to Produce Third-Party Documents
Case Analysis: SEC Appeal of Ryan R. Henry (NASD)
: Rule 8210; Rule 9552; Art. V, Sec. 2 of By-Laws; Failure to Update CRD Address
NASD Dissident Movement:
The seminal documents
2005 Articles
Case Analysis: SEC Appeal of Paul K. Grassi, Jr. (NYSE):
Forged drug prescription; Sanction fairness
Case Analysis: SEC Appeal of Davrey Financial Services, Inc. and Pravin R. Davrey (NASD)
: Net Capital; FOCUS; Advertising, Letter of Caution
Case Analysis: SEC Appeal of Nicholas T. Avello (NASD)
: Net Capital; FOCUS; Remand; Circuit Court of Appeals; Letter of Caution
Case Analysis: SEC Appeal of Rooney A. Sahai (NASD)
:Forgery; Failure to Cooperate
Case Analysis: SEC Appeal of E. Magnus Oppenheim & Co., Inc. (NASD)
: Late FOCUS Report
Case Analysis: SEC Appeal of Michael A. Rooms (NASD)
: Penny Stock; Obstruction of Investigation
Case Analysis: SEC Appeal of Harry M. Richardson (NASD)
: Statutory Disqualification; Permanent Injunction; Bar
Case Analysis: SEC Appeal of Morton Kantrowitz (NASD)
: Statutory Disqualification; Permanent Injunction; Guilty Plea
Case Analysis: SEC Appeal of Guang Lu (NASD)
: Unauthorized Discretion; U4
2004 Articles
Case Analysis: SEC Appeal of Lee Gura (NASD)
Case Analysis: In the Matter of James F. Glaza (SEC)
Case Analysis: Deutsche Bank Securities (NYSE)
Case Analysis: X, a Former Representative (NYSE Hearing Panel Decision)
Case Analysis: Fidelity Brokerage Services, LLC (SEC and NYSE)
New York State Insurance Department Regulation 60 materials
Case Analysis: SEC Appeal of Chris Dinh Hartley (NASD)
Case Analysis: Clarke T. Blizzard and Rudolph Abel (SEC/RIA)
Case Analysis: SEC Appeal of Reuben D. Peters and Peters Securities, Co. LP (NASD)
Case Analysis: SEC Appeal of Gina M. Guzzone (NASD)
Case Analysis: NASD Hearing Panel Decision Richard S. Jacobson
Case Analysis: NASD Hearing Panel Decision Gregory A Eastman
Case Analysis: SEC Appeal of Anthony H. Barkate (NASD)
Case Analysis: SEC Appeal of Mark H. Love (NASD)
Case Analysis: SEC Appeal of Bloomberg L.P. (NYSE)
Case Analysis: SEC Appeal of Amr Elgindy and Key West Securities, Inc. (from NASD)
Case Analysis: SEC Appeal of Toni Valentino (from NASD)
Case Analysis: SEC Appeal of Dane S. Faber (from NASD)
2003 Articles
Inspector Javert: Milkmen, Barbers and Stockbrokers/ 03-04
Inspector Javert: Running with Blinders/ 03-03
Inspector Javert: Peeing in the Pool/ 03-02
Inspector Javert the ex-State Examiner:/03-01
Goliath versus Goliath (Labranche e-mail controversy)
NASD Solves Crisis of Confidence on Wall Street: Dramatic Proposals Call for Scrutiny of Bad Guys!
Singer's Discordant Notes 03-15: SEC Finally Gets It Right
Singer's Discordant Notes 03-14: Iced Coffee
Singer's Discordant Notes 03-13: The Great Pretender
Singer's Discordant Notes 03-12: Wall Street Settlement
Letter to NASD Requesting Investigation of PRU RR agreement
Wachovia/Prudential: RRs' Transitional Compensation.
NASD Consultative Committees
2002 Articles
New Jersey IA rules
NYS revises IA
de minimis
exemption
NASD Regulatory Releases: Disparate Treatment?
NTM 02-57: Revised Negative Response Letter Policy
NASD Says: Can't Trust RRs with Wall Street Reform
SEC Revises Corporate Insider Reporting
NASD RULE 2711: When Size Matters
Employee Forgivable Loans: Repayment Defense
Trying to Trade Out of Financial Woes -- Don't
In the aftermath of Spitzer/Merrill: Regulatory Sanctions
Discount Commissions, Online Trading, and Analysts
Borrowing Money from Customers
Reappraising Self-Regulation/Part III
NASDR Rule 3030: Pitfalls of Starting a BD
Reappraising Self-Regulation/Part II
Reappraising Self-Regulation/Part I
2001 Articles
Open Letter to NASD: Help Wall Street
Looking Out for U�:
The Court's TRO Decision
SROs: Quasi-Governmental or Private?
Looking Out for U�: In court with a TRO
The Hidden Danger of Outside Consultants' Reports
Looking Out for U�: Responding to TROs
Looking Out for U�: Quitting Jobs
The Trader's Edge�:Execution and Supervision
Looking Out for U�:NASD's Client Account Transfer Proposal
Looking Out for U�:The TRO
Online Attacks: Protected Speech or Fraud?
Looking Out for U�: The Association Agreement
Premiere Edition of Looking Out for U�
Premiere Edition of The Trader's Edge�: Series 55
SEC Brings Internet Smear Case
On-the-Record Interviews at NASD: Because we say so!
NASD NTM 01-06: Inter-customer lending
NASD Proposes Contested Election Amendments
2000 Articles
Cheap Shots, Bona Fides and Last-Minute Regulation
Wall Street and Felonies Part II: Statutory Disqualification
Wall Street and Felonies Part I: Form U-4 Disclosures
NASD's New 3-Quote Rule
Negative Response Letters
Digital Signatures and Securities Industry Transactions
Online BD Margin Practices
NASDAQ Listing: Bad Boys Beware!
Can, Will or Should NASD Survive?
Recordings and Price Predictions (III)
Your Word Against the Customer's (II)
Should You Settle or Fight (I)?
Series 55: Who needs to register?
NASD Hard-to-Borrow List
SEC Reverses NYSE Stale Prosecution
NASD's E-Mail Fiasco!
Series 55 Deadline Nears
NASD Demutualization and Regulatory Reform
Arbitrating Discrimination Matters
Error Accounts
On-Line Short Sales
OTCBB: Recap and symbols
1999 Articles
On-Line Short Sales
OTCBB:Recap and symbols
SEC's Microcap Agenda
NASD to Codify Free-Riding
Assault on the Floor of the NYSE
Employment Agreements/Part I
Employment Agreements/Part II
Employment Agreements/Part III
Employment Agreements/Part IV
New NASD Clearing Firm Rules
Churning: Definitions and Calculations
Understanding Scienter and Fraud
Mutual Fund Switching
NASD Examination Waivers
NASD Short Sales Notice to Members
Your Right To Counsel in NASD On-the-Records
SEC Amends Rule 504 of Regulation D
SEC Sustains NASD's 2 Year Jurisdiction in Forgery Case
Special Commentary: The Day Trading Witch Hunt
NASD Day Trading Regulation Proposals
NASD Notice to Members 99-12
Continuing Commissions After Death, Retirement, or BD's Sale
Unregistered Order Takers During Volatile Markets
Sales Practices Violations: Some Clear Definitions from SEC
NASD Notice to Members 99-11
NYSE Rule 80A
NASD Caves in to NASAA Pressure on Arbitration Orders
SEC Sanctions Website Misconduct
Aiding and Abetting Part 5 (Graham & Voss)/Supervision
Aiding and Abetting Part 4 (Havill)/RR's Exposure
Aiding and Abetting Part 3 (Chema)/RR's Exposure
Aiding and Abetting Part 2 (Chema)/RR's Exposure
New U.S. Supreme Court Ruling on Sexual Harassment/Discrimination *
1998 Articles
Aiding and Abetting Part 1(Broumas) /Customer's Scheme
SEC Brings Case, Loses, and Ordered to Pay Defendant
SEC Criticizes NASD's Decision to Bar RR
Private Placement Pitfalls
NASD's Free-Riding and Withholding Interpretation
Last Known Addresses on CRD
Stock Promotion Payments
SEC v. Olde Discount Part 4/ Sales Practice Abuses
SEC v. Olde Discount Part 3/ Recruitment and Sales Practices
SEC v. Olde Discount Part 2/ Compensation Practices
SEC v. Olde Discount Part 1/ Sanctions
Money Laundering, Jail, and RRs
Tough Talk and Threats Gets RR Barred
Small Firms' Compliance Responsibilities
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