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Wall Street’s Dirty Little Secrets:
  Uncovered and analyzed at http://RRBDLAW.com

 

http://RRBDLAW.com

November 15, 2005

 

Every month Wall Street’s regulators issue disciplinary decisions that fine and suspend stockbrokers and their firms --- but many of the more interesting stories get buried among the sheer volume of cases.  Nationally-known regulatory lawyer Bill Singer analyzes the securities industry’s docket and provides insight and provocative commentary.  Here are some of the more unusual New York Stock Exchange (NYSE) items Bill uncovered at http://RRBDLAW.com this month:

http://rrbdlaw.com/RegulatoryLinks/CASESOFNOTE/NYSE/2005.htm

 

 

Yo, dude, far out!
So Zombiedude, who is about 23 years old and also known by his other online handle of Moonshine69, posts more than 1,000 comments about Nasdaq and TSX stocks on chat rooms at Yahoo! and other sites.  It’s the typical garbage you’d expect to see, but the poster was a non-registered employee of UBS PaineWebber. See why Bill Singer is so worked up over this case.  (Mitchell Alan Romano) All In the Family?
Seems that poor Kimberly Vonduhn had some $56,000 in personal expenses and just couldn’t make ends meet at her Sales Assistant’s job at Citigroup Global Markets, Inc..  What’s a girl to do?  Well, Kim forged that sum by helping herself to a stockbroker’s checkbook.  Not a smart move.  Not at all.  Now it’s two felonies later and a Bar. (Kimberly A. Vonduhn)

 

http://rrbdlaw.com/RegulatoryLinks/CASESOFNOTE/NYSE/2005.htm

 

 

RRBDLAW.com is a leading securities-industry legal/regulatory website.  The content is published by Bill Singer, a veteran Wall Street regulatory lawyer who represents both the industry and the public. 

CONTACT INFORMATION:
Bill Singer
[email protected]

917-520-2836

http://www.rrbdlaw.com