BILL SINGER is a lawyer who represents securities-industry firms, individual registered persons, Wall Street whistleblowers, and defrauded public investors. For four decades, I have represented clients before the American Stock Exchange, the New York Stock Exchange, the Financial Industry Regulatory Authority (formerly the NASD), the United States Securities and Exchange Commission, and in criminal investigations brought by various federal, state, and local prosecutors. I have the distinction of representing witnesses during Congressional investigations; and in 2015, I achieved a significant award of approximately $1.5 million from the Securities and Exchange Commission on behalf of a whistleblower client, who was the first in-house compliance officer to be declared eligible under Dodd-Frank.
I am presently Of Counsel to a law firm. Before entering the private practice of law, I was employed in the Legal Department of Smith Barney, Harris Upham & Co.; as a regulatory attorney with both the American Stock Exchange and the NASD (now FINRA); and as a Legal Counsel to Integrated Resources Asset Management. I was 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 was a Series 7 and Series 63 stockbroker, and served as a Hearing Officer for the New York City Environmental Control Board. From 1997 to 2011, I was the author 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 was the author of the “Summary Discipline” column for Institutional Investor / Wall Street Letter. Also, I hosted the “Side Bar” and “Case in Point” online video series during which I interviewed leading broker-dealer, investment advisory, and industry compliance guests. I am the founder/publisher of the BrokeAndBroker.com Blog and Securitie