About
BILL SINGER is a attorney who represents securities-industry firms, individual registered men and women, Wall Street whistleblowers, and defrauded public buyers. For 4 decades, I have represented clients before the American Stock Exchange, the New York Stock Exchange, the Financial Industry Regulatory Authority (formerly the NASD), the US Securities and Exchange Commission, and in criminal investigations introduced by diverse federal, kingdom, and neighborhood prosecutors. I even have the distinction of representing witnesses throughout Congressional investigations; and in 2015, I achieved a sizeable award of about $1.5 million from the Securities and Exchange Commission on behalf of a whistleblower customer, who turned into the first in-house compliance officer to be declared eligible below Dodd-Frank.
I am presently Of Counsel to a regulation workplace. Before coming into the non-public practice of regulation, I became hired within the Legal Department of Smith Barney, Harris Upham & Co.; as a regulatory lawyer with both the American Stock Exchange and the NASD (now FINRA); and as a Legal Counsel to Integrated Resources Asset Management. I become formerly Chief Counsel to the Financial Industry Association; General Counsel to the NASD Dissidents Grassroots Movement; and General Counsel to the Independent Broker-Dealer Association.
I became a Series 7 and Series sixty three stockbroker, and served as a Hearing Officer for the New York City Environmental Control Board. From 1997 to 2011, I became the writer of Registered Rep. Magazine’s “Street Legal” column and from 2009 to 2013, I authored the “Street Sweeper” column for Forbes.com. For several years I changed into the author of the “Summary Discipline” column for Institutional Investor / Wall Street Letter. Also, I hosted the “Side Bar” and “Case in Point” on-line video collection in the course of which I interviewed leading dealer-dealer, investment advisory, and enterprise compliance guests. I am the founder/writer of the BrokeAndBroker.com Blog and Securitie
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Location
Legal Issues
- Arbitration & Mediation
- Business Arbitration, Consumer Arbitration, Family Arbitration
- Business Law
- Business Contracts, Business Dissolution, Business Finance, Business Formation, Business Litigation, Franchising, Mergers & Acquisitions, Partnership & Shareholder Disputes
- Employment Law
- Employee Benefits, Employment Contracts, Employment Discrimination, ERISA, Overtime & Unpaid Wages, Sexual Harassment, Whistleblower, Wrongful Termination
- Securities Law
- Stockbroker & Investment Fraud
Costs
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Free Consultation
Free Initial Consultation
Certificates
Languages
- English: Spoken, Written
Accepted Jurisdictions
Experience
Herskovits PLLC
Educations
Graduation year: 1981
Graduation year: 1969
