Bill Singer analyzes the arbitration between NRP Financial, Inc., National Retirement Partners, Inc., and NRP Advisors, Inc., Claimants, vs. Walker Bafs Retirement Group, Inc., Wade Alan Walker, and Jeffrey Brian Bafs, Respondents.
FinReg. Goldman Sachs. Oh, puhlease . . . gimme a break!
July 16, 2010
No, I’m not “happy” with the outcome of either the financial reform legislation or SEC v. Goldman Sachs. I’m a cynic, and, to that extent, let’s just say that my worst fears have come to full realization.
Wall Street’s Shame: Elderly Clients As Victims of Fraud
June 16, 2010
Amidst all the hard-luck stories of failed brokerage firms and unemployed stockbrokers, a frightening problem appears to be emerging: the elderly are increasingly being targeted by unscrupulous stockbrokers.
LOST: One Securities and Exchange Commission Regulatory Priority
May 18, 2010
Now that the SEC has announced yet another public meeting of yet another advisory committee, Bill Singer thinks it is just one more laughable event in an endless stream of idiocy.
Analyzing a Troubling Wall Street Double Standard
May 4, 2010
As Bill Singer explains, veteran Wall Street journalist Dan Jamieson recently shed light on yet another troubling example of the impotency of Wall Street’s regulatory system.
Why Wall Street Reform Is Doomed to Fail – A Case in Point
April 21, 2010
According to Bill Singer, the government can, “Pass all the new laws that you want. Amend as many old laws as you wish. It simply will not matter.”
In-Depth Analysis: SEC v. Goldman Sachs – Regime Change or Crowd Control?
April 19, 2010
In the opinion of Bill Singer, the SEC v. Goldman Sachs & Co. case is likely to become a watershed event in the history of Wall Street regulation and poses the following question: are we now about regime change on Wall Street or merely crowd control?
Insider Trading: Frequent Flyers, Potatoes and Macy’s
March 26, 2010
On March 24, 2010, the Securities and Exchange Commission (SEC) alleged in a Complaint filed in the United States District Court for the Southern District of New York that Defendant Igor Poteroba, a high-ranking investment banker in UBS Securities LLC’s Global Healthcare Group in New York City, tipped his friend Defendant Aleksey Koval with highly confidential inside information about impending transactions involving pharmaceutical companies.
CCI Named Place ‘Where Compliance Pros Connect Online’
March 26, 2010
We are very honored and excited to have been included in Julie Steinberg’s post today on FINS.com that highlighted sites “where compliance pro connect online.” Also included is CCI featured columnist Bill Singer.
Major Raiding Case Goes to Arbitration
March 16, 2010
To get an idea about how complex a Financial Industry Regulatory Authority (FINRA) Arbitration can get, just consider this case caption…
