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6月1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/6476/securities-industry-commentator/


Letter from United States Senate Committee on Banking, Housing, and Urban Affairs Chairman Sherrod Brown to Wells Fargo & Company President/Chief Executive Officer Charles W. Scharf / May 31, 2022


Manhattan Man Pleads Guilty To Defrauding Victims Of Millions Of Dollars Through Offering Fictional Investment Opportunities?/ Ephraim Ullmann Defrauded Multiple Investors With False Statements About Loans and Letters of Credit (DOJ Release)


Former CEO Indicted for Misleading Investors About COVID-19 Rapid Test Kits / Investors Lost More Than $116 Million (DOJ Release)


SEC Charges Company and Former CEO with Misleading Investors about Sale of Covid-19 Test Kits (SEC Release)


Vacaville Man Sentenced to 8 Years in Prison for Billion Dollar DC Solar Ponzi Scheme (DOJ Release)


SEC Charges Former North Carolina Investment Adviser and Public Company CEO with Fraudulent Self-Dealing (SEC Release)


SEC Charges Former Astrazeneca Employee with Insider Trading (SEC Release)


SEC Charges Investment Adviser and Its Principals with Fraud (SEC Release)


领英推荐

In the Matter of the Application of Lek Securities Corporation for Review of Action Taken by National Securities Clearing Corporation and The Depository Trust Company (SEC Order Denying Motion for Stay and Scheduling Briefs)


CFTC Charges Florida Man with Fraudulent Solicitation of Over $800,000 and Misappropriation in Futures Scheme / Federal Court Ordered Cox to Pay Over $900,000 in Restitution and Penalties in Prior CFTC Fraud Action (CFTC Release)


FINRA Fines and Suspends Former National Securities Corp's CEO for Flipper Penalty Bid

In the Matter of David Charles Levine, Respondent (FINRA AWC)


FINRA Fines and Suspends Rep for Tax Liability of Variable Annuities Withdrawals

In the Matter of Philip Norris Smith, Respondent (FINRA AWC)


FINRA Fines and Suspends Rep for Tax Liability of Variable Annuities Withdrawals

In the Matter of Camille Cordova, Respondent (FINRA AWC)


FINRA Arbitrator Denies Expungement of One Item but Recommends Expungement of Second

In the Matter of the Arbitration Between David John Kimura, Claimant, v. LPL Financial LLC, Respondent (FINRA Arbitration Award)


AML Update: The Latest Trends and Effective Practices (FINRA Unscripted)

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