Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer

Bill Singer Bill Singer

Bill Singer

A critic of the inept and incompetent, and an advocate for economic and political sanity. It's a lonely journey but I walk it. Wall Street legal, regulatory, and compliance veteran since 1982.

发布日期: 2022年5月25日
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Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6465/securities-industry-commentator/


94 Days And Counting For FINRA's Independent Review Of Its Arbitration Selection Process?(BrokeAndBroker.com Blog)


Stephen A. Kohn Announces 2022 Run for Small Firm Governor on FINRA Board of Governors


The Nasdaq Stock Market LLC, et al., Petitioners, v. Securities and Exchange Commission, Respondent (Opinion, DCCir / March 24, 2022)


Glencore Entered Guilty Pleas to Foreign Bribery and Market Manipulation Schemes / Swiss-Based Firm Agrees to Pay Over $1.1 Billion (DOJ Release)


CFTC Orders Glencore to Pay $1.186 Billion for Manipulation and Corruption (CFTC Release)


Former Chief Executive Officer of Publicly Traded Company Pleads Guilty to Conspiracy to Commit Securities Fraud / Defendant Made Millions in Pump-and-Dump Scheme Involving Company Stock and Induced Elderly Victims to Invest (DOJ Release)


South Bend Man Sentenced to 121 Months in Prison And Ordered To Pay $1,938,193.15 in Restitution (DOJ Release)


Rockland County Man Sentenced To 7 Years For Ponzi-Like Securities Fraud Scheme Targeting Local Haitian Community (DOJ Release)


Former Art Dealer Sentenced To 7 Years For $86 Million Fraud Scheme (DOJ Release)


SEC Charges BNY Mellon Investment Adviser for Misstatements and Omissions Concerning ESG Considerations (SEC Release)


FINRA Fines and Suspends Rep for Falsifying Customer's Signature

In the Matter of Marcella Luz Cofre, Respondent (FINRA AWC)


FINRA Fines and Suspends Rep for Misrepresentations About Fund Performance

In the Matter of Blakely Page, Respondent (FINRA AWC)


Did You Know That You Could Trade With Imaginary Money at Schwab?

In the Matter of the Arbitration Between Charles Schwab & Co., Inc., Claimant, v. Marcin Dusza, Respondent (FINRA Arbitration Award)

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