Bill Singer represents securities-industry firms, individual registered persons, Wall Street whistleblowers, and defrauded public investors.
For over three decades, Bill has 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. Bill has the distinction of representing witnesses during Congressional investigations.
In 2015, Bill 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 the rigorous Dodd-Frank exemptions.
Before entering the private practice of law, Bill 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. Bill 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.
For a number of years, Bill was a Series 7 and Series 63 stockbroker.
Bill is the founder/publisher of the BrokeAndBroker.com Blog, which was rated as one of the industry’s Top Eight Destination Websites and the leading legal/regulatory blog by Investment News.
J.D., New York Law School
B.A., New York University
United States District Court, Eastern District of New York
United States District Court, Southern District of New York
United States District Court, Western District of New York