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982f52e4c29eb6f51d981494b22243a0 | https://www.forbes.com/sites/billharris/2013/02/08/us-stocks-post-small-gains-international-markets-decline/ | US Stocks Post Small Gains; International Markets Decline | US Stocks Post Small Gains; International Markets Decline
This is a guest post by Craig Birk, director of portfolio management at Personal Capital.
Mario Draghi, President of the European Central Bank (ECB), addresses the media during a press... [+] conference following the meeting of the Governing Council in Frankfurt... |
a240ebe37bb8d18657e2365a504eedb8 | https://www.forbes.com/sites/billharris/2013/02/15/quiet-week-for-stocks-gold-declines/ | Quiet Week for Stocks; Gold Declines | Quiet Week for Stocks; Gold Declines
WASHINGTON, DC - FEBRUARY 12: U.S. President Barack Obama (L) gestures toward U.S. Vice President... [+] Joe Biden and House Speaker John Boehner (R-OH) before giving his State of the Union address during a joint session of Congress on Capitol Hill on February 12, 2013 in Washington... |
b2206ef1998f1301479a05212dc03e92 | https://www.forbes.com/sites/billharris/2013/02/22/1801/ | Volatility Returns to Market; Simpson & Bowles Present New Tax Plan | Volatility Returns to Market; Simpson & Bowles Present New Tax Plan
Erskine Bowles, President Obama, Alan Simpson (Photo credit: Cal Almonds)
This is a guest post by Craig Birk, director of portfolio management at Personal Capital.
After an extremely docile month, volatility returned to the market after Fed minutes... |
662566506eb6d451dd181e6d1dee1624 | https://www.forbes.com/sites/billhuber/2019/07/26/nfl-best-and-worst-bargains-patrick-mahomes-eli-manning/ | NFL Best And Worst Bargains At Quarterback: Patrick Mahomes, Eli Manning | NFL Best And Worst Bargains At Quarterback: Patrick Mahomes, Eli Manning
KANSAS CITY, MISSOURI - JANUARY 20: Patrick Mahomes #15 of the Kansas City Chiefs celebrates with ... [+] Travis Kelce #87 after scoring a touchdown in the third quarter against the New England Patriots during the AFC Championship Game at Arrowhea... |
2f9438178a0c2c62c510c0c4054927e4 | https://www.forbes.com/sites/billhuber/2020/01/04/nfl-wild-card-super-saturday-bills-at-texans-titans-at-patriots/ | NFL Wild Card Super Saturday: Bills At Texans; Titans At Patriots | NFL Wild Card Super Saturday: Bills At Texans; Titans At Patriots
ATLANTA, GEORGIA - FEBRUARY 03: Tom Brady #12 of the New England Patriots and Julian Edelman #11 of ... [+] the New England Patriots celebrate after Super Bowl LIII at Mercedes-Benz Stadium on February 03, 2019 in Atlanta, Georgia. (Photo by Maddie Meyer... |
acf0494447643055a50c55f2a53fc2e7 | https://www.forbes.com/sites/billhuber/2020/04/16/seattle-seahawks-nfl-draft/ | Seattle Seahawks NFL Draft Preview: GM John Schneider At Crossroads With Weak Defense In Tough Division | Seattle Seahawks NFL Draft Preview: GM John Schneider At Crossroads With Weak Defense In Tough Division
Seahawks GM John Schneider and coach Pete Carroll celebrate after winning Super Bowl XLVIII on Feb. ... [+] 2, 2014 in East Rutherford, N.J. This is a key draft for Seattle's championship aspirations for 2020. (Photo... |
cd7cb63a94f31fa2fc4d2fe0e397faea | https://www.forbes.com/sites/billions/2010/07/22/ultra-rich-spending-less-and-chasing-quality/ | Ultra Rich Spending Less And Chasing Quality | Ultra Rich Spending Less And Chasing Quality
This post was written and reported by Sara Peck:
America’s richest are spending less cash, and are being more choosy about the products they actually buy. The Survey of Affluence and Wealth in America 2010--a creation of American Express Publishing and the Harrison Group--po... |
5075a35afd1421a096ff96ff250270e3 | https://www.forbes.com/sites/billions/2010/07/28/billionaire-owner-of-trader-joes-theo-albrecht-dies/ | Billionaire Owner of Trader Joe's, Theo Albrecht, Dies | Billionaire Owner of Trader Joe's, Theo Albrecht, Dies
Few shoppers at trendy Trader Joe’s are aware of the man behind their favorite store. His name was Theo Albrecht, and he was the 31st richest person in the world worth a recent $16.7 billion. Albrecht died on Saturday at the age of 88 after a months-long illness re... |
f4548a57ca120ceee4fbe233325ac4eb | https://www.forbes.com/sites/billisaac/2010/10/01/was-tarp-worth-it/ | Was TARP Worth It? | Was TARP Worth It?
Image by AFP/Getty Images via @daylife
The government and AIG announced an agreement to unwind the government’s ownership of AIG acquired under the Troubled Asset Relief Program (TARP). It’s unclear how long the unwinding process will take or how much taxpayers will ultimately lose.
The AIG announce... |
b9897b5a834ada40be3cd6f499ffd1fe | https://www.forbes.com/sites/billmarler/2015/06/09/if-you-are-a-manufacturer-of-adulterated-food-can-you-face-fines-and-jail/ | If You Are A Manufacturer Of Adulterated Food Can You Face Fines And Jail? | If You Are A Manufacturer Of Adulterated Food Can You Face Fines And Jail?
If you read no further, the short answer is – HELL YES!
Earlier this year I was giving a talk on the risks facing leadership in companies that produce food that enters interstate commerce – specifically, the risk of criminal prosecution under th... |
b6bbff9a5e84d1216821809ab89d7d59 | https://www.forbes.com/sites/billretherford/2017/11/26/compact-planetary-system-an-amazing-new-laboratory/ | Compact Planetary System An 'Amazing New Laboratory' | Compact Planetary System An 'Amazing New Laboratory'
Artist's conception of the TRAPPIST-1 planets. Credit: NASA / JPL-Caltech
Surely this is one of the most congested spots in space.
About 232 trillion miles from Earth, a tiny star—TRAPPIST-1a—clinches seven cramped worlds.
The innermost planet—TRAPPIST-1b—orbits in o... |
dcb5e06d40c48311d274d412ef6dc45d | https://www.forbes.com/sites/billretherford/2017/12/31/billions-of-exoplanets-count-on-it-say-space-scientists/ | Billions Of Exoplanets? Count On It, Say Space Scientists | Billions Of Exoplanets? Count On It, Say Space Scientists
Exoplanet GJ 504b, 57 light-years away, in the constellation Virgo. Credit: NASA's Goddard Space Flight Center / S. Wiessinger
Exoplanets—worlds outside our solar system—are everywhere.
Already, astronomers have discovered thousands. As of New Year’s Day 2018, N... |
658bdc91accdda1574c2cd48f408b5e1 | https://www.forbes.com/sites/billretherford/2018/08/27/supersensitive-antenna-to-search-for-extraterrestrials/ | 'Supersensitive Antenna' To Search For Extraterrestrials | 'Supersensitive Antenna' To Search For Extraterrestrials
That scary-looking "eye" isn't from "War of the Worlds." Instead, it's part of Puerto Rico's Arecibo... [+] Observatory. Credit: Arecibo Observatory / NSF
Looking for E.T. just got easier.
At the iconic Arecibo Observatory in Puerto Rico, a souped-up “supersensi... |
6bdd81dcc20bc52c0a328c7f79c0e11a | https://www.forbes.com/sites/billretherford/2018/08/28/new-data-on-exomoon-candidate-reveals-a-very-exciting-object/ | New Data On Exomoon Candidate Reveals 'A Very Exciting Object' | New Data On Exomoon Candidate Reveals 'A Very Exciting Object'
Artist's concept. An Earth-like exomoon orbiting a gas giant planet. Credit: NASA / JPL-Caltech
An exomoon—or something else?
David Kipping—astronomy professor at Columbia University and among the world’s foremost exomoon hunters—is mum for the moment.
“As ... |
539888e83ede9ec1e5cb32b5a3d3f69a | https://www.forbes.com/sites/billretherford/2018/11/30/european-space-telescope-slated-for-2019-launch/ | Supersensitive Space Telescope To Focus On Super-Earths | Supersensitive Space Telescope To Focus On Super-Earths
CHEOPS, the European Space Agency's exoplanet satellite. Artist's impression. Credit: ESA / ATG medialab
By this time next year, CHEOPS will be in space.
The new telescope’s launch window—now official—lasts a month, from October 15 to November 14, 2019.
Sometime d... |
267d38eebbe7f8eff68172ec374573c6 | https://www.forbes.com/sites/billretherford/2019/02/06/the-marvelous-mechanical-mole-of-mars/ | The Marvelous Mechanical Mole Of Mars | The Marvelous Mechanical Mole Of Mars
Artist's concept. NASA's InSight lander. Credit: NASA / JPL-Caltech
Ten weeks after landing, NASA’s InSight is still unpacking.
“We’re in the instrument deployment phase,” says Matt Golombek of the Jet Propulsion Laboratory in Pasadena, California.
The deployment takes months. The ... |
10b989935559183fa2bc064d90e18329 | https://www.forbes.com/sites/billretherford/2019/03/14/looking-for-life-on-mars-go-underground-say-scientists/ | Looking For Life On Mars? Go Underground, Say Scientists | Looking For Life On Mars? Go Underground, Say Scientists
Artist's concept. The surface of Mars. Credit: NASA / JPL-Caltech
Scan the stark Martian surface, and see a dry, dead world.
Nothing could survive there, researchers say. The surface is devoid of liquid water, doused by cosmic radiation, and devastatingly cold—la... |
4a3f4f44f1acf314d7a1d2a84c421319 | https://www.forbes.com/sites/billretherford/2019/07/17/space-scientists-share-childhood-memories-of-moon-landing/ | Space Scientists Share Childhood Memories Of Moon Landing | Space Scientists Share Childhood Memories Of Moon Landing
The stunning color film photographs were taken by the Apollo astronauts and brought back to Earth... [+] for development before release to the public. They are a striking departure from the murky TV images, broadcast live during the landing and moonwalk. NASA
J... |
be1b60627a9610327869122da913d32a | https://www.forbes.com/sites/billroberson/2019/04/30/teslas-new-sentry-mode-system-captures-ev-admirers-door-dings-hit-and-runs-and-more-on-video/ | Tesla's New 'Sentry Mode' System Captures EV Admirers, Door Dings, Hit And Runs And More On Video | Tesla's New 'Sentry Mode' System Captures EV Admirers, Door Dings, Hit And Runs And More On Video
The Sentry system uses three camera on the Model 3, including two on the sides of the car. Tesla
Back in February, electric carmaker Tesla introduced "Sentry Mode" for the Model 3 as a software update. Let the video fun be... |
b827f32131c40cb85b660ab7c6fac342 | https://www.forbes.com/sites/billroberson/2019/07/24/best-budget-dash-cams/ | Best Budget Dash Cams | Best Budget Dash Cams
This story was written in collaboration with Forbes Finds. Forbes Finds covers products and experiences we think you’ll love. Featured products are independently selected and linked to for your convenience. If you buy something using a link on this page, Forbes may receive a small share of that sa... |
64c183e2f3e200c0ae688d738fe49525 | https://www.forbes.com/sites/billroberson/2019/08/22/porsches-new-taycan-ev-takes-aim-at-teslas-most-crucial-metric-performance/ | Porsche's New Taycan EV Takes Aim At Tesla's Most Crucial Metric: Performance | Porsche's New Taycan EV Takes Aim At Tesla's Most Crucial Metric: Performance
Porsche officials at the Porsche plant inspect the assembly line for the Taycan electric car ... [+] alongside the Porsche Mission E Cross Turismo study. (Photo by Marijan Murat/picture alliance via Getty Images) picture alliance via Getty I... |
2635c1e2e0c499ae000dd44fa2bab9ae | https://www.forbes.com/sites/billroberson/2019/10/04/the-best-nikon-cameras-for-beginners-hobbyists-and-professionals/ | The Best Nikon Cameras for Beginners, Hobbyists and Professionals | The Best Nikon Cameras for Beginners, Hobbyists and Professionals
This story was written in collaboration with Forbes Finds. Forbes Finds covers products and experiences we think you’ll love. Featured products are independently selected and linked to for your convenience. If you buy something using a link on this page,... |
d60f206169ef542c42cdb6d7becc9627 | https://www.forbes.com/sites/billroberson/2019/11/07/must-be-expensive-very-musk-says-tesla-truck-will-get-reveal-to-coincide-with-blade-runner-date/ | Elon Musk Says Tesla Truck Reveal Will Coincide With ‘Blade Runner’ Date | Elon Musk Says Tesla Truck Reveal Will Coincide With ‘Blade Runner’ Date
An early rendering of the Tesla truck, with a crew cab "regular" pickup in the bed... for scale. Tesla Motors
Describe for me in single words, only the good things that came to mind about... the Tesla truck?
Sorry, I’m just such a big fan of Blad... |
c94f9233b677c2d266045119f760b043 | https://www.forbes.com/sites/billroberson/2019/11/28/black-friday-2019-the-best-smart-tv-deals/ | Black Friday 2019: The Best Smart TV Deals | Black Friday 2019: The Best Smart TV Deals
Today's best TVs feature cutting-edge tech like the amazing picture quality of this LG OLED set. But ... [+] the prices are better than ever! LG
Television technology has undergone a massive revolution in just a short time, so if you’re still watching that HD set you bought a... |
7eb2e44e4a46592adfc006d5a43a175a | https://www.forbes.com/sites/billroberson/2019/12/13/best-15-inch-home-audio-subwoofers/ | The Best 15-Inch Home Audio Subwoofers For 2019 | The Best 15-Inch Home Audio Subwoofers For 2019
A 15-inch subwoofer can add a big punch to your home theater system or blow up the deep beats in ... [+] today's music. Klipsch
Sometimes, you just gotta bring the bass. From movie soundtracks to hip-hop and hard rock, to EDM and modern jazz, there’s a lot going down in... |
ed265f2e157dbf7350c629561073c3fb | https://www.forbes.com/sites/billroberson/2020/02/06/sprinter-lite-mercedes-benz-channels-vw-with-cool-and-compact-weekender-camper-van/ | Sprinter Lite? Mercedes-Benz Channels VW With Cool And Compact Weekender Camper Van | Sprinter Lite? Mercedes-Benz Channels VW With Cool And Compact Weekender Camper Van
Look familiar? The Weekender isn't from who you think it is. Mercedes-Benz
With #vanlife still all the rage in the U.S., Mercedes-Benz is apparently filling the void left wide open by VW by offering a minivan-sized pop-top camper that ... |
8383f894995e0acb667a69cc209a4384 | https://www.forbes.com/sites/billroberson/2020/03/26/riding-on-the-ragged-legal-edge-with-the-50mph-delfast-top-20-etb-electric-bike/ | Riding On The Ragged (Legal) Edge With The 50mph Delfast Top 2.0 ETB Electric Bike | Riding On The Ragged (Legal) Edge With The 50mph Delfast Top 2.0 ETB Electric Bike
If you think the Delfast Top 2.0 looks like a motorcycle, that's not a coincidence. Photo: Bill Roberson
In an earlier article on Forbes, I wrote about my encounter with a high-speed electric bicycle, likely a Stealth model, and how tho... |
e232f76e3f7d528a76fcda6b41b5341a | https://www.forbes.com/sites/billroberson/2020/05/12/jochen-zeitz-takes-command-as-ceo-at-harley-davidson-five-things-he-might-want-to-do/ | Jochen Zeitz Takes Command As CEO At Harley-Davidson: What Might Help Turn Things Around? | Jochen Zeitz Takes Command As CEO At Harley-Davidson: What Might Help Turn Things Around?
A man drives a Harley-Davidson Breakout (FXSB). Photo by Manuel Romano/ NurPhoto via Getty Images
Between sagging sales, bleak future prospects, a sinking stock price, the coronavirus pandemic shutdown and the sudden departure of... |
8d98dcd2c4519a8308a106a13d842dfe | https://www.forbes.com/sites/billroberson/2020/05/29/bike-sales-get-a-big-boost-in-perfect-storm-of-demand-covid-19-recovery-and-ebike-maturity/?sh=29888cbdf919 | Bike Sales Get A Big Boost In Perfect Storm Of Demand, COVID-19 Recovery And Ebike Maturity | Bike Sales Get A Big Boost In Perfect Storm Of Demand, COVID-19 Recovery And Ebike Maturity
Los Angeles County beaches and bike paths have recently reopened under the conditions that face ... [+] coverings be worn and that social distancing be practiced. Photo by Amanda Edwards Getty Images
The long Memorial Day weeke... |
913320e53385774756c4fd8ac87165a0 | https://www.forbes.com/sites/billroberson/2020/07/29/ceos-rewire-plan-turns-to-hardwire-as-harley-davidson-reports-92m-loss/?sh=31a5e0534fe5 | CEO’s ‘Rewire’ Plan Turns To ‘Hardwire’ As Harley-Davidson Reports $92M Loss | CEO’s ‘Rewire’ Plan Turns To ‘Hardwire’ As Harley-Davidson Reports $92M Loss
A special-edition Harley-Davidson Road Glide Harley-Davidson/Brian J Nelson
Iconic American motorcycle maker Harley-Davidson’s [HOG] stock dropped sharply - and then recovered - Tuesday after the company reported a $92 million loss for the se... |
d8583c286988bf8f076a680f7b34de89 | https://www.forbes.com/sites/billroberson/2020/11/25/road-trip-power-and-grace-combine-for-luxurious-fun-in-the-hot-rod--cadillac-ct5-v/ | Power And Grace Combine For Luxurious Fun In The New Hot-Rod Cadillac CT5-V | Power And Grace Combine For Luxurious Fun In The New Hot-Rod Cadillac CT5-V
A pretty face to be sure, with those trademark vertical LED rails. GM/Cadillac
Some years ago, I plopped into the driver’s seat of a Cadillac CTS-V coupe, and found it to be a most unusual beast. There before my eyes was the most unusual appe... |
659ba25f539527a004f50f4f2ba3dfc5 | https://www.forbes.com/sites/billroberson/2020/11/26/holiday-gift-guide-2020-best-car-camping-gear/ | Holiday Gift Guide 2020: Best Car Camping Gear | Holiday Gift Guide 2020: Best Car Camping Gear
Photo by Gina Ferazzi Los Angeles Times via Getty Images
Stay six feet apart, they said. Don’t do anything in big groups, they said. Events were cancelled, schools closed and businesses sent everyone home to figure out Zoom and other technologies. It’s enough to make som... |
81cf3668c16dbe56d1bd0bddc4114d13 | https://www.forbes.com/sites/billroberson/2021/01/13/gocycles-fun-and-sporty-gx-ebike-folds-up-in-seconds-goes-for-miles/ | Gocycle’s Fun And Sporty GX Ebike Folds Up In Seconds, Goes For Miles | Gocycle’s Fun And Sporty GX Ebike Folds Up In Seconds, Goes For Miles
It's not big, but the GoCycle GX rides like a bigger bike. Roberson Photography
On desktop computers, use ‘Command +’ for larger photos.
Brit ebike company Gocycle makes essentially one kind of bike, but it's the variations on the theme that make t... |
7c16e7b3d97a8dc20a1ef644a94e3b8d | https://www.forbes.com/sites/billrosenblatt/2014/11/17/whats-the-right-price-for-music-on-demand/ | Apple's Bold Move to Reprice Digital Music | Apple's Bold Move to Reprice Digital Music
The price of digital music has been the same for a very long time. No, I’m not talking about 99 cents per track from Apple ’s iTunes; I’m talking about $10/month for subscription on-demand music from the likes of Spotify, Rhapsody, Google , Rdio, and Apple’s Beats Music.... |
03cba18a98411c4ea7b2bf76eaf31433 | https://www.forbes.com/sites/billrosenblatt/2015/10/02/publishing-startup-looks-for-way-around-amazon/ | Publishing Startup Pronoun Looks for Path Around Amazon | Publishing Startup Pronoun Looks for Path Around Amazon
To startup companies looking to enter the book publishing field, Amazon.com is a huge immovable object in the middle of the road. Most publishing startups don't really try to compete with Amazon; instead they try to succeed by complementing it, building some capa... |
3c01486cf72cf8e7724a84daafc76d10 | https://www.forbes.com/sites/billrosenblatt/2019/06/09/podcast-ad-revenue-continues-to-grow-but-growth-is-slowing-down/?utm_campaign=podToPod&utm_medium=email&utm_source=Revue%20newsletter | New Study Shows Limits Of Ad Revenue For Podcasts | New Study Shows Limits Of Ad Revenue For Podcasts
null Getty
The Interactive Advertising Bureau and PwC released their third annual study of advertising revenue in podcasting last week. Although the study's headline is yet another year of steep growth, the numbers show that growth has peaked and is slowing down. The n... |
5d973b79967bab3f7918f2c1d703ee94 | https://www.forbes.com/sites/billrosenblatt/2019/07/20/pearsons-digital-first-strategy-will-change-how-students-get-textbooks/ | Pearson's Digital-First Strategy Will Change How Students Get Textbooks | Pearson's Digital-First Strategy Will Change How Students Get Textbooks
null Getty
Pearson, the world's largest textbook publisher, announced last week that it is moving from a traditional to a "digital first" publishing model. This development upends several traditions that are more than a century old. It will bring ... |
108c76e953bc88b71d1932b30373344f | https://www.forbes.com/sites/billrosenblatt/2020/01/03/why-ebook-subscription-services-will-finally-succeed-in-the-coming-decade/ | Why Ebook Subscription Services Will Finally Succeed In The Coming Decade | Why Ebook Subscription Services Will Finally Succeed In The Coming Decade
Two girls reading an ebook in a library. Getty
Subscription services for digital music, movies, and TV shows are all very popular nowadays, but for ebooks, they aren’t. Although ebook subscription services have existed for several years, they ha... |
403c6c1a34bfcf3d92b3d774aa2910ce | https://www.forbes.com/sites/billrosenblatt/2020/06/24/warnermedias-deals-with-spotify-and-iheart-pursue-different-podcast-strategies/ | WarnerMedia’s Deals With Spotify And iHeart Pursue Different Podcast Strategies | WarnerMedia’s Deals With Spotify And iHeart Pursue Different Podcast Strategies
iHeartMedia will co-produce companion podcasts for HBO Max television shows. SOPA Images/LightRocket via Getty Images
WarnerMedia recently announced two separate podcasting deals that show how the podcasting industry is branching out into ... |
20756936fefc10bc636f453e150e2f23 | https://www.forbes.com/sites/billrosenblatt/2020/11/12/sonos-takes-a-step-forward-in-internet-radio-with-superhifis-ai-technology/ | Sonos Takes A Step Forward In Internet Radio With SuperHiFi’s AI Technology | Sonos Takes A Step Forward In Internet Radio With SuperHiFi’s AI Technology
Sonos Radio HD Sonos
Sonos, the maker of multi-room networked speakers, launched Sonos Radio SONO HD today. Sonos Radio HD is a subscription digital radio service for Sonos devices that features a few dozen curated music channels and acces... |
9bb223944a7f31dfcc2c2449a62ddd47 | https://www.forbes.com/sites/billrosenblatt/2021/12/29/2020-in-podcasting-an-industry-takes-shape/?sh=31955de7262f | 2020 In Podcasting: An Industry Takes Shape | 2020 In Podcasting: An Industry Takes Shape
Podcasting matured into a billion-dollar industry this year. getty
The year that’s coming to an end was a pivotal one in the development of podcasting as an industry. The major business models, players, and axes of power are coming into focus as the industry matures.
Prognos... |
9cea02e26756f0da785e5e522cd579c6 | https://www.forbes.com/sites/billsinger/2010/12/03/online-hijacking/ | Online Hijacking Defendants Agree to Pay $1.33 Million to Settle SEC Market Manipulation Case | Online Hijacking Defendants Agree to Pay $1.33 Million to Settle SEC Market Manipulation Case
Image by Don Hankins via Flickr
On March 15, 2010, the Securities and Exchange Commission (SEC) filed an emergency action in the United States District Court for the Southern District of New York seeking to freeze the assets o... |
6d8403a43f209c93756edf236265b3df | https://www.forbes.com/sites/billsinger/2010/12/06/godbole-hedge-fund/ | A Not-So Opulent Hedge Fund Goes Belly-Up | A Not-So Opulent Hedge Fund Goes Belly-Up
Image via Wikipedia
This is a story that may seem a bit complicated but, in reality, it's a fairly basic tale. Stripped of all its Wall Street jargon, we are once again confronted with the all-too-familiar tragedy in which a misguided soul made a mistake and tried to undo the d... |
c1f515dfb54efc5c9333949a53974451 | https://www.forbes.com/sites/billsinger/2010/12/07/operation-broken-trust-or-is-that-broken-truss/ | Operation Broken Trust, Or Is That Broken Truss? | Operation Broken Trust, Or Is That Broken Truss?
Image via Wikipedia
On December 6, 2010, the United States Department of Justice issued yet another in a very, very, very long line of press releases: Financial Fraud Enforcement Task Force Announces Results of Largest-Ever Nationwide Operation Targeting Investment Fraud... |
df56385b1bdd8efbd1f64d3140dd6c9b | https://www.forbes.com/sites/billsinger/2010/12/08/bank-of-america-restitution/ | The Department of Justice Headline About Bank of America | The Department of Justice Headline About Bank of America
Lately, I seem fixated on the titles of press releases from the United States Department of Justice. The other day, I sort of laced into the Justice Department about its "Operation Broken Trust." See, “Operation Broken Trust – Or Should That Be Broken Truss?"
Ju... |
52222803e417b7937706739434fa8c23 | https://www.forbes.com/sites/billsinger/2010/12/10/altman-sec/ | Lawyer Barred From Practicing Before SEC Sues | Lawyer Barred From Practicing Before SEC Sues
In January 2009, SEC Administrative Law Judge (ALJ) Brenda Murray found that securities industry lawyer Steven Altman had engaged in unethical and improper professional conduct while representing a prospective witness for the Division of Enforcement ("Division") in a SEC ad... |
15c3818e1871a0d49d5134f01efbe8c3 | https://www.forbes.com/sites/billsinger/2011/01/05/elder-abuse/ | Elder Abuse on Wall Street | Elder Abuse on Wall Street
In 2010, the stock markets began to recover from some of the devastation of the Great Recession. Many bruised and bleeding brokerage firms got things back on track. We enter 2011 with a feeling that it's business as usual and things are returning to the so-called new normal.
However, 2010 wa... |
b766a2b7e1166a589dcb596b64f3370f | https://www.forbes.com/sites/billsinger/2011/01/07/nuns-churning/ | SEC Settles Churning Case Involving Elderly Nuns | SEC Settles Churning Case Involving Elderly Nuns
Just the other day, "Street Sweeper" published a story about elder abuse on Wall Street. Little did we know that the next day, the Securities and Exchange Commission (“SEC”) would announce the settlement of a case involving the financial abuse of two brokerage accounts o... |
60b07195373ed2d2b2a62e1dde5d060a | https://www.forbes.com/sites/billsinger/2011/02/15/high-noon-lehman/ | High Noon for 113 Former Lehman Employees | High Noon for 113 Former Lehman Employees
After the fall -- former Lehman Brothers employee sent packing In the once halcyon days of Wall Street, Lehman Brothers Inc. (LBI), the broker-dealer subsidiary of Lehman Brothers Holding, Inc. (LBHI), gave 113 of its employees about $80 million in loans. If you look at the... |
71f2dd14f19e17621d1c8413986348c0 | https://www.forbes.com/sites/billsinger/2011/03/11/wells-fargo-wachovia-retention-award-finra-arbitration/ | Wells Fargo / Wachovia Loses Stunning FINRA Retention-Award Case | Wells Fargo / Wachovia Loses Stunning FINRA Retention-Award Case
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in October 2009, Claimant Wells Fargo sought repayment of $131,690.44 from its former employee Respondent William Coster. Claimant Wells Fargo alleged that Respond... |
3b04a815b155c8c31fcadfb18add2ba3 | https://www.forbes.com/sites/billsinger/2011/04/04/ponzi-forex-smith/ | FOREX Pirate's Ponzi Scheme Ends In U.S. Brig | FOREX Pirate's Ponzi Scheme Ends In U.S. Brig
Ahoy Matey! Canst I interest ye in some Spanish Doubloons or FOREX pieces of eight? Arrrr.
For more than three years, David A. Smith, 41, a Jamaican citizen who was living in the Turks and Caicos Islands ran a Ponzi scheme that reaped over $200 million from some 6,000 defra... |
66161ad931f74c6ccc4cb5994bae0430 | https://www.forbes.com/sites/billsinger/2011/04/07/hoops4africa-bekale-indictment/ | Did Hoops Dreams Turn to Nightmare in Alleged Charity Scam? | Did Hoops Dreams Turn to Nightmare in Alleged Charity Scam?
Barack Obama rebounding the ball in a game with U.S. military personnel Truly, I hate these stories. I have grown tired of reporting about far too many fallen angels. Worse, the more of these stories that get publicized, the harder it is for well-meanin... |
9a428c3b2a5c7ca9c487be7de16cb5a1 | https://www.forbes.com/sites/billsinger/2011/04/11/userra-palin-goodwin/ | Wasilla, Alaska: Feds Sue Over Denied Employment of National Guardsman | Wasilla, Alaska: Feds Sue Over Denied Employment of National Guardsman
Employee returns from Iraq and seems to get the runaround from his employer
In recent years, I have been contacted in my capacity as a lawyer by members of our armed forces who believed that their Wall Street employers violated the Uniformed Servic... |
a4c3a869a1f15291700a8564a6e8ec65 | https://www.forbes.com/sites/billsinger/2011/04/12/citigroup-mat-asta-finra-arbitration/ | Citigroup Slammed With $54 Million Award by FINRA Arbitrators in MAT / ASTA Case. | Citigroup Slammed With $54 Million Award by FINRA Arbitrators in MAT / ASTA Case.
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in June 2009, the Claimants various causes of action including fraud, unsuitability, and failure to supervise arising from multiple investments in... |
e8af2d8709f15c983da2f0ce6a16b5e7 | https://www.forbes.com/sites/billsinger/2011/04/13/wextrust-byers-shereshevsky/ | WexTrust Saga Nears End with Pleas and Sentences | WexTrust Saga Nears End with Pleas and Sentences
Founded in 2003, WexTrust Capital presented itself as a globally diversified private equity company specializing in investments in real estate and other opportunities. The company was headquarted in Chicago, Illinois, with offices in New York, New York; Norfolk, Virginia... |
cd17c7de43306c140e23998069018495 | https://www.forbes.com/sites/billsinger/2011/04/14/zilkha-microsoft-pequot-samberg/ | SEC's Initial Decision on David Zilkha (Microsoft, Pequot, and Samberg) | SEC's Initial Decision on David Zilkha (Microsoft, Pequot, and Samberg)
On May 27, 2010, the Securities and Exchange Commission (“SEC”) issued an Order Instituting Proceedings (OIP) In The Matter Of David E. Zilkhaalleging that in violation of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, David E. Zilkha... |
6dcde6d133aaa587766902cbc6ca6d5b | https://www.forbes.com/sites/billsinger/2011/04/15/wells-fargo-finra-retention-award-arbitration/ | Wells Fargo Crushed in FINRA Retention Award Arbitrations | Wells Fargo Crushed in FINRA Retention Award Arbitrations
In a Financial Industry Regulatory Authority ("FINRA") arbitration Statement of Claim filed in September 2010, Claimant Wells Fargo (formerly Wachovia) sought $16,280.97 plus attorneys' fees and costs from Respondent Harrill on the basis that he had breached the... |
c13cb80c9541365b9c9d667b39030ee3 | https://www.forbes.com/sites/billsinger/2011/04/20/michigan-ponzi-scamster-demiro-pleads-guilty/ | Michigan Ponzi Scamster DeMiro Pleads Guilty | Michigan Ponzi Scamster DeMiro Pleads Guilty
Mug shot of Dante DeMiro
Dante DeMiro, age 43, was the founder and managing director of MuniVest Financial Group and MuniVest Services LLC in Southfield, Michigan, where he served as an investment adviser to various municipalities, credit unions, school districts, and trade ... |
7e5f5565c9bc2f4e0c2fde6298fb230a | https://www.forbes.com/sites/billsinger/2011/04/25/libor-antitrust-varney-trojan-horse/ | LIBOR: The Antitrust Division's Trojan Horse? | LIBOR: The Antitrust Division's Trojan Horse?
The London Interbank Offered Rate ("LIBOR") is the rate that banks in the London wholesale money-market reference when lending unsecured money to other banks. Essentially the mathematical mean of interbank deposit rates (for overnight to one-year maturities) offered by des... |
41cc45707ce685f0d6db044afe93bcbe | https://www.forbes.com/sites/billsinger/2011/04/26/libor-nyse-nasdaq-antitrust/ | The Damnable Politics of Regulation | The Damnable Politics of Regulation
Today's blog is a continuation from yesterday's LIBOR: The Antitrust Division's Trojan Horse?
In his April 25, 2011, Exile on Main Street column: Nasdaq, ICE Scoff At New Synergies In NYSE Merger Forbes contributor Steve Schaefer stated:
Over the weekend NYSE Euronext touted additio... |
6290e9cabea1ef30810171b9c8e00741 | https://www.forbes.com/sites/billsinger/2011/04/27/atm-netschi-moore/ | UPDATE: Have I Got An ATM For You! Cheap. | UPDATE: Have I Got An ATM For You! Cheap.
An ATM Scam Ends With Hard Time for Two Defendants
You ever wonder about all those Automated Teller Machines (“ATMs”) – you know, maybe they would be a great investment? After all, everyone needs cash from time to time and if you could buy an ATM, get it placed in just the perf... |
e5de89b574ea2426fe079f2b8c29ad1c | https://www.forbes.com/sites/billsinger/2011/04/27/liberia-no-good-deed-goes-unpunished/ | Liberia: No Good Deed Goes Unpunished | Liberia: No Good Deed Goes Unpunished
From 1989 through 2003, Liberia was rocked by civil war, with only brief periods or respite. From 1989-1996, Liberian President Samuel Doe waged a bloody battle against Charles Taylor and Prince Johnson. That conflict reportedly resulted in the death of over 200,000 Liberians and ... |
b64a80e761f4a868d6b79a3ea0212c32 | https://www.forbes.com/sites/billsinger/2011/04/28/wells-fargo-kamaris-finra-arbitrtation/ | Wells Fargo Scrambled a Nest Egg | Wells Fargo Scrambled a Nest Egg
A nest egg was lost -- or at least scrambled
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in March 2010, Demetrios and Toni Kamaris sought at least $425,000 in compensatory damages for what they described as the loss of their “nest egg,” wh... |
ee134ca81086deeb7ce46f14ea715738 | https://www.forbes.com/sites/billsinger/2011/05/06/finra-seaboard/ | The FINRA Arbitration and the No-Show Parties | The FINRA Arbitration and the No-Show Parties
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in March 2010, Claimants alleged causes of action for unfair competition, breach of contract, conversion, and unjust enrichment; and sought the following:
permanent injunctive relief... |
5c4baca4d167d020d615aa116302c31c | https://www.forbes.com/sites/billsinger/2011/05/13/customer-loses-rip-van-winkle-securities-arbitration/ | Customer Loses Rip Van Winkle Securities Arbitration | Customer Loses Rip Van Winkle Securities Arbitration
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in March 2010, Claimant alleged various causes of action including breach of fiduciary duty and fraudulent misrepresentation relating to her claim that:
from 1995 through 1998... |
099919e6a9987724fd9bd49c7637e4d9 | https://www.forbes.com/sites/billsinger/2011/05/18/update-the-wells-fargo-broker-who-wouldnt-give-in-to-finra-bar/ | UPDATE: The Wells Fargo Broker Who Wouldn't Give In to FINRA Bar | UPDATE: The Wells Fargo Broker Who Wouldn't Give In to FINRA Bar
Broker's perserverance results in a moral victory of sorts
During the dire days of World War II, British Prime Minister Winston Churchill said:
Never give in, never give in, never; never; never; never - in nothing, great or small, large or petty - never g... |
392e7e500bf6911e41e4a9afb049a486 | https://www.forbes.com/sites/billsinger/2011/06/07/atm-fraud-no-longer-the-cheesy-machine-at-the-local-deli/ | ATM Fraud: No Longer the Cheesy Machine at the Local Deli | ATM Fraud: No Longer the Cheesy Machine at the Local Deli
Maybe it's not the guy standing behind you that you should be worrying about. What's under your... [+] fingers?
On June 6, 2011, a federal indictment named as Defendants:
Mihail Draghici, Ionel Dedulescu, Didi Theodor Ciulei, A/K/A "Spirel," and Laurentiu Mugu... |
cd2538474a3743d0a66caf9cc9a1eaed | https://www.forbes.com/sites/billsinger/2011/06/22/operation-stolen-dreams-gets-another-mortgage-fraud-plea/ | "Operation Stolen Dreams" Gets Another Mortgage Fraud Plea | "Operation Stolen Dreams" Gets Another Mortgage Fraud Plea
“Operation Stolen Dreams” is the federal and state law enforcement sweep that targeted mortgage fraud in 2010, at which time it was reported over 1,200 individuals were named as defendants resulting in over 600 indictments for crimes resulting in over $2 Billi... |
553207cd59549b47ff2b2113e08bf702 | https://www.forbes.com/sites/billsinger/2011/06/30/wall-streets-self-regulation-stalls-the-shocking-ameriprise-forgery-case/ | Wall Street's Self Regulation Stalls: The Shocking Ameriprise Forgery Case | Wall Street's Self Regulation Stalls: The Shocking Ameriprise Forgery Case
Self regulation sprints along at the speed of a turtle
Recently, the Financial Industry Regulatory Authority (“FINRA”) entered into a settlement with its member firm Ameriprise Financial Services, Inc. (“Ameriprise”) pursuant to a Letter Of Acce... |
2bb45a70b1f683a8b18e0091519f8e46 | https://www.forbes.com/sites/billsinger/2011/07/21/wamu-loses-solicitation-case-against-former-brokers/ | WaMu Loses Solicitation Case Against Former Brokers | WaMu Loses Solicitation Case Against Former Brokers
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim field in April 2009, Claimant Chase Investment Services (formerly WaMu Investments, Inc.) asserted
violation of the Washington Trade Secrets Act; violation of Computer Fraud and Ab... |
099ad89911cb9e7a4e7c6c72800ee68d | https://www.forbes.com/sites/billsinger/2011/07/26/finra-bars-operations-mgr-for-credit-card-and-check-abuses/ | FINRA Bars Operations Mgr For Credit Card and Check Abuses | FINRA Bars Operations Mgr For Credit Card and Check Abuses
An Operations Manager Ran Up Credit Card Charges Without Authorization
In response to a Financial Industry Regulatory Authority (“FINRA”) Complaint filed on March 11, 2011, without admitting or denying the allegations, Respondent Dareth Martin submitted an Offe... |
a3b43c9933699cc30275314c6c22bd72 | https://www.forbes.com/sites/billsinger/2011/08/01/finra-arbitrators-slam-both-parties-in-consolidated-employment-disputes/ | FINRA Arbitrators Slam Both Parties in Consolidated Employment Disputes | FINRA Arbitrators Slam Both Parties in Consolidated Employment Disputes
A Double Knockout in FINRA Arbitration
First, you have a pro se litigant. Second, you have a lot of obvious bad blood between the parties. Third, you have an unending list of allegations and claims. All of which combine to create an eye-roller of a... |
179e1ca96e654eff1ebc2f99181bba1e | https://www.forbes.com/sites/billsinger/2011/08/02/another-forex-ponzi-scammer-pleads-guilty/ | Another FOREX Ponzi Scammer Pleads Guilty | Another FOREX Ponzi Scammer Pleads Guilty
On July 29, 2011, David R. Lewalski, 47, pleaded guilty in federal court in the Middle District of Florida to mail fraud in connection with his operation of a $30 million investment fraud scheme and faces a maximum penalty of 20 years in prison. Lewalski was previously arreste... |
af309eeca8167c949416fbf26ba7dd7c | https://www.forbes.com/sites/billsinger/2011/08/06/the-no-nothing-party-and-woody-allens-choice/ | The No Nothing Party and Woody Allen's Choice | The No Nothing Party and Woody Allen's Choice
Our nation
When I posted the first iteration of this article on Thursday, August 4, 2011 at 1:16 pm, I noted that I had stopped watching the stock market plummet, and asked: What’s the point? My observation on that day was that I was aware of two interesting developments a... |
c956da7447e46952ff414ad40d49e4b6 | https://www.forbes.com/sites/billsinger/2011/08/25/feds-get-guilty-pleas-in-tax-lien-bid-rigging-scheme/ | Feds Get Guilty Pleas In Tax Lien Bid Rigging Scheme | Feds Get Guilty Pleas In Tax Lien Bid Rigging Scheme
Bid Rigging of Tax Liens Adds Insult to Injury For Victimized Homeowners
To say that times are tough would be an understatement -- and to say that many owners of real estate are struggling to keep up with their mortgage payments and assessed taxes would simply be res... |
d41096ee1ebf893a0e56f4526a4345fa | https://www.forbes.com/sites/billsinger/2011/09/01/finra-arbitrators-award-millions-in-elder-abuse-case/ | FINRA Arbitrators Award Millions in Elder Abuse Case | FINRA Arbitrators Award Millions in Elder Abuse Case
Arbitrators Award Major Damages. Slam Possible Criminal Conduct.
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in July 2009 and thereafter amended, the Claimants asserted various causes of action including negligence, fra... |
88e85708374b011cba6f687fa6322bc3 | https://www.forbes.com/sites/billsinger/2011/09/13/the-secs-dodd-frank-fruminous-workstream-implementation-plan-for-regulatory-infrastructure/ | The SEC's Dodd-Frank Frumious Workstream Implementation Plan for Regulatory Infrastructure | The SEC's Dodd-Frank Frumious Workstream Implementation Plan for Regulatory Infrastructure
Unknown Securities and Exchange Commission Executives and Outside Consultant Preparing A Surge... [+] Capacity Stroke In Overflowing Workstream Before Launching Their Six-Month Study
The Securities and Exchange Commission (“SEC”)... |
b4530d7fefa1ec5169558a06d862e233 | https://www.forbes.com/sites/billsinger/2011/09/20/goldman-sachs-employee-fired-fined-and-suspended-for-personal-credit-card-expenses/ | Goldman Sachs Employee Fired, Fined, and Suspended For Personal Credit Card Expenses | Goldman Sachs Employee Fired, Fined, and Suspended For Personal Credit Card Expenses
Repaying your personal charges on the corporate credit card may not be enough to keep you out of hot... [+] water
For the purpose of settling rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”) but without ... |
6dc3a03378fc742c6fa4970e2a5bdada | https://www.forbes.com/sites/billsinger/2011/09/21/excessive-trading-and-unauthorized-discretion-in-elderly-clients-accounts/ | Excessive Trading and Unauthorized Discretion In Elderly Clients' Accounts | Excessive Trading and Unauthorized Discretion In Elderly Clients' Accounts
The First Commandmant of Stockbrokering: Thou Shalt Get It In Writing. The Second Commandmant of... [+] Stockbrokering: Thou Shalt Get It Signed
Richard H. Byerly first became registered in the securities industry in 1978 and during the relevant... |
f1248fb9951175fb0c029c5dc5b7e627 | https://www.forbes.com/sites/billsinger/2011/09/23/zombie-client-signed-annuity-document-20-days-after-his-death/ | Zombie Client Signed Annuity Document 20 Days After His Death | Zombie Client Signed Annuity Document 20 Days After His Death
Has Wall Street found a new population of potential customers: Zombies?
In response to allegations of rule violations by the Financial Industry Regulatory Authority ("FINRA") but without admitting or denying the findings, Jason Pedigo proposed a settlement p... |
438236b2b6d8b4e3f0724433ee874f8c | https://www.forbes.com/sites/billsinger/2011/11/02/12-defendants-named-in-ny-medicare-fraud-cases/ | 12 Defendants Named In NY Medicare Fraud Cases | 12 Defendants Named In NY Medicare Fraud Cases
On November 2, 2011, 12 individuals were charged in federal court in the Eastern District of New York for their roles in separate health care fraud schemes that resulted in the submission of more than $95 million in false claims to the Medicare program. Eleven defendants w... |
18e7ff615dee97c0c1638ac4ff8a0295 | https://www.forbes.com/sites/billsinger/2011/11/02/another-ex-im-bank-fraud-ends-with-guilty-plea/ | Another Ex-Im Bank Fraud Ends With Guilty Plea | Another Ex-Im Bank Fraud Ends With Guilty Plea
According to federal prosecutors, court documents, and a plea agreement, Guillermo O. Mondino, 48, of Miami, FL was the owner of Texon Inc., an exporting company located in Miami.
When an article begins with According to federal prosecutors, court documents, and a plea agr... |
fef6438b685089435ab6c7bb1f04de5d | https://www.forbes.com/sites/billsinger/2011/11/25/computer-hacker-job-applicant-earns-marriott-platinum-courtroom-and-prison-yard-bonus-points/ | Computer Hacker Job Applicant Earns Marriott Platinum Courtroom and Prison Yard Bonus Points | Computer Hacker Job Applicant Earns Marriott Platinum Courtroom and Prison Yard Bonus Points
From Help Wanted to just "Wanted"
On November 23, 2011, Attila Nemeth, 26, a Hungarian citizen, pleaded guilty in federal court in the District of Maryland to intentionally causing damage by transmitting a malicious code to Mar... |
733b19b9996d88aaeab5396cc9d526b2 | https://www.forbes.com/sites/billsinger/2011/11/30/sec-commissioner-warns-of-disclosure-overload/ | SEC Commissioner Warns of Disclosure Overload | SEC Commissioner Warns of Disclosure Overload
Pinch me. Please. Again. Am I awake?
Whoa, this is truly bizarre. I’m sitting at my computer writing a complimentary story about a speech delivered by a current Securities and Exchange Commission commissioner’s speech. Yeah, you got it. Bill Singer is complimenting someone ... |
6d534815e8fcdf03dd1141638d106fc4 | https://www.forbes.com/sites/billsinger/2011/12/06/former-bank-of-america-broker-suspended-and-fined-for-nsf-checks-and-atm-withdrawals/ | Former Bank of America Broker Suspended and Fined For NSF Checks and ATM Withdrawals | Former Bank of America Broker Suspended and Fined For NSF Checks and ATM Withdrawals
Too bad Bernie Madoff or a too-big-to-fail institution didn't need an ATM cash withdrawal. Wall... [+] Street's regulators might have been waiting to pounce!
For the purpose of settling rule violations alleged by the Financial Industry... |
1c824b2a34f74dc4b2d2ca970194caca | https://www.forbes.com/sites/billsinger/2011/12/09/a-side-of-romanian-identity-theft-with-your-footlong-subway/ | A Side of Romanian Identity Theft With Your Footlong Subway | A Side of Romanian Identity Theft With Your Footlong Subway
On December 7, 2011, a four-count federal Indictment was unsealed in the District of New Hampshire naming:
Adrian-Tiberiu Oprea, 27, of Constanta, Romania; Iulian Dolan, 27, of Craiova, Romania; Cezar Iulian Butu, 26, of Ploiesti, Romania; and Florin Radu, 23... |
b691a58ed5e9cf1e6e8f555210147735 | https://www.forbes.com/sites/billsinger/2011/12/09/mother-and-daughters-convenient-joint-account-leads-to-odd-arbitration-win-against-wells-fargo/ | Mother And Daughter's Convenient Joint Account Leads to Odd Arbitration Win Against Wells Fargo | Mother And Daughter's Convenient Joint Account Leads to Odd Arbitration Win Against Wells Fargo
FINRA Arbitrators resort to the dark science of alchemy to transform a joint account into something... [+] else
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in December 2010, Cl... |
cb39b0b8ba81644aa5983f5249692986 | https://www.forbes.com/sites/billsinger/2011/12/15/wells-fargo-hit-with-punitive-damages-in-finra-u5-defamation-case/ | Wells Fargo Hit With Punitive Damages in FINRA U5 Defamation Case | Wells Fargo Hit With Punitive Damages in FINRA U5 Defamation Case
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in October 2010, Claimant Minevich asserted that he had been defamed on his Form U4 and Form U5 by Respondent Wells Fargo. At the close of the hearing, Claimant ... |
ca9e8c80d844038b304f4a9c4af24059 | https://www.forbes.com/sites/billsinger/2012/01/04/discharged-wachovia-employee-wins-form-u5-expungement/ | Discharged Wachovia Employee Wins Form U5 Expungement | Discharged Wachovia Employee Wins Form U5 Expungement
Former Wachovia / Wells Fargo employee gets to erase some offensive language on her Form U5
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in July 2010, Claimant Sanborn alleged that she had been defamed on a Form U5 as m... |
222cebdd8d8d93107c3be9c40f4560cc | https://www.forbes.com/sites/billsinger/2012/01/05/update-hospital-ceo-caused-payment-of-60000-bribe-to-senator-keep-job/ | UPDATE: Hospital CEO Caused Payment of $60,000 Bribe to Senator Keep Job | UPDATE: Hospital CEO Caused Payment of $60,000 Bribe to Senator Keep Job
The cost of one bandage at the hospital?
As readers of “Street Sweeper” know, I am an outspoken critic of corruption – which seems to have become a way of life for those in government. Bribes and kickbacks have a corrosive effect that hinders hon... |
27464d654aea0df08df5fe725de35358 | https://www.forbes.com/sites/billsinger/2012/01/18/the-great-kentucky-caviar-criminal-caper-comes-to-an-end-in-ohio/ | The Great Kentucky Caviar Criminal Caper Comes To An End In Ohio | The Great Kentucky Caviar Criminal Caper Comes To An End In Ohio
Image of Polyodon spathula "Paddlefish"
This is an update of a Street Sweeper article originally published on March 16, 2011.
On March 14, 2011, a federal Indictment filed in the Southern District of Ohio charged
Steve T. Kinder, 51, and Kinder Caviar I... |
c628222a5354ff36c82ac4fa93ac18eb | https://www.forbes.com/sites/billsinger/2012/01/23/branch-manager-suspended-and-fined-for-leaving-office-keys-with-landlord/ | Branch Manager Suspended and Fined For Leaving Office Keys with Landlord | Branch Manager Suspended and Fined For Leaving Office Keys with Landlord
Without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication, Hernan Charry submitted a Letter of Acceptance, Waiver and Consent ("AWC") to the Financial Industry Regulatory Authority (“FINRA”) for the purp... |
ff91a59667998c36dacfcb1fb9a7ec9d | https://www.forbes.com/sites/billsinger/2012/01/27/wall-street-eugenics-sec-charges-microcap-fraud-again/ | Wall Street Eugenics : SEC Charges Microcap Fraud . . . again | Wall Street Eugenics : SEC Charges Microcap Fraud . . . again
After some three decades lawyering on Wall Street, I ask your pardon if, at times, I come off as overly cynical, hardboiled, and curmudgeonly. I mean, you know, seriously, if you’ve seen even a tenth of the garbage and nonsense that I have during my career,... |
ab8bf21fd728698eea9ef3cdf367186a | https://www.forbes.com/sites/billsinger/2012/02/01/wall-street-compliance-practices-come-under-scrutiny-by-finra-and-the-sec/ | Wall Street Compliance Practices Come Under Scrutiny by FINRA and the SEC | Wall Street Compliance Practices Come Under Scrutiny by FINRA and the SEC
Recently, Street Sweeper reported on two regulatory settlements by the Financial Industry Regulatory Authority ("FINRA") and the Securities and Exchange Commission ("SEC") that addressed whether the delegation of compliance supervisory roles was ... |
bd2890266e0a2596123ba2c84f6e8211 | https://www.forbes.com/sites/billsinger/2012/02/10/finra-warns-stockbrokers-to-kick-the-tires-on-private-placements-deals/ | FINRA Warns Stockbrokers To Kick The Tires On Private Placements Deals | FINRA Warns Stockbrokers To Kick The Tires On Private Placements Deals
FINRA warns stockbrokers: If you want to sell the car you better kick the tires
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”) and without admitting or denying the findin... |
3feb9ed63f5f4aa0474c10233fdfcb9c | https://www.forbes.com/sites/billsinger/2012/02/10/securities-and-exchange-commission-issues-5-page-report-announcing-1-word-change/ | Securities and Exchange Commission Issues 5 Page Report Announcing 1 Word Change | Securities and Exchange Commission Issues 5 Page Report Announcing 1 Word Change
I can't even begin to imagine where to start with this -- or how to convey my mixture of outrage, which is tempered by how hilariously idiotic I find the whole situation. In a nutshell, the Securities and Exchange Commission just issued a... |
40b2fe90e902e5908fb71f2a2f7c4bca | https://www.forbes.com/sites/billsinger/2012/02/15/broker-suspended-and-fined-for-misrepresenting-variable-annuity-guaranteed-rate-of-return/ | Broker Suspended and Fined for Misrepresenting Variable Annuity Guaranteed Rate of Return | Broker Suspended and Fined for Misrepresenting Variable Annuity Guaranteed Rate of Return
Guaranteed interest rates in variable annuities may not always be what you
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”) and without admitting or deny... |
c351f3aa18a24f1343ad128b6a59b434 | https://www.forbes.com/sites/billsinger/2012/02/16/update-american-greed-felon-eric-stein-pleads-guilty-in-petscam-com-case/ | UPDATE: "American Greed" Felon Eric Stein Pleads Guilty in PetScam.com Case | UPDATE: "American Greed" Felon Eric Stein Pleads Guilty in PetScam.com Case
Lose your puppy? Here's a way to also lose your investment dollars.
If the name “Eric Stein” rings a bell, it’s likely because you saw him featured on CNBC's “American Greed”. Stein was sentenced to eight years in federal prison for his role ... |
8b8ed99e93113f95b75db3c70937fee5 | https://www.forbes.com/sites/billsinger/2012/03/09/former-employer-seeks-12000-in-damages-against-employee-seeking-500000/ | Former Employer Seeks $12,000 in Damages against Employee Seeking $500,000 | Former Employer Seeks $12,000 in Damages against Employee Seeking $500,000
Somtimes there are no happy campers in an employment dispute
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim Filed in June 2010, Claimant Jain asserted various causes of action including, breach of contracts... |
0b283be51f86092f37dc2b3dcb88a63a | https://www.forbes.com/sites/billsinger/2012/03/09/from-mexico-with-love-comes-cia-dolphin-spy-flix/ | From Mexico With Love Comes CIA Dolphin Spy Flix | From Mexico With Love Comes CIA Dolphin Spy Flix
On June 15, 2011, a federal grand jury returned two Indictments, which charged 17 defendants with allegedly participating in fraudulent fundraising activities related to the operation of a boiler room that was pushing independent film projects.
No, I didn't make a mistak... |
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