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Dec 13, 2005 3:13 pm

FOR IMMEDIATE RELEASE:<?:namespace prefix = o ns = "urn:schemas-microsoft-com:office:office" />

Wall Street’s Dirty Little Secrets:
  Uncovered and analyzed at

December 13, 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 this month:


Between a rock and a hard place
A former stock loan trader gets caught between cooperating with the US Attorney or the NYSE.  It’s not the facts of the case that incense Bill Singer.  It’s what he feels is the inherent dishonesty in the NYSE’s official Decision --- why is the existence of the US Attorney’s investigation not even disclosed until page 3 . . . and then only after the decision is rendered?  It seems clear as to the reason for the failure to cooperate.  Why make is seem more complex? (Jason Andrew Bander)


You know how sexism still works on Wall Street  --- they’ll hire some “girls” just for window dressing.  Let ‘em work as lowly sales assistants.  They can’t really cut it as brokers.  Well, read how one of these supposedly dumb broads managed to steal some $14,000 by misusing confidential customer information and setting up Paypal accounts. What a waste of talent!  (Suzanne Marie Forcher)


Just when you thought the NYSE couldn’t get it right, they hit one out of the park.  Read this well-crafted decision involving a Morgan Stanley employee who failed to disclose two misdemeanors and one felony charge.  (Raymond Burton) 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. 

Bill Singer
[email protected]