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: 2024年1月4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/7208/securities-industry-commentator/

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FINRA Bars Its Arbitration Forum To TDA Customer Citing Unspecified Risks Of Health And Safety (BrokeAndBroker.com Blog)

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Former Merrill Lynch Rep Stuck In FINRA Arbitration Expungement Turnstile (BrokeAndBroker.com Blog)

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Financial Professionals Coalition, Ltd. JOIN TODAY -- FREE MEMBERSHIP

DOJ

Srinivasa Kakkera was Sentenced to 18 Months in Prison, and Abbas Saeedi was Sentenced to 5 Months in Prison, for Trading on Material, Non-public Information About Impending Corporate Transactions by Lumentum (SEC Release)

Founder And Former CEO Of Tingo Companies Charged With Securities Fraud (DOJ Release)

SEC

SEC Charges Florida Real Estate Developer Rishi Kapoor with Perpetuating $93 Million Fraud Scheme and Obtains Emergency Relief (SEC Release)

SEC Obtains Judgment Against Individual for Participating in Fraudulent Microcap Scheme (SEC Release)

SEC Obtains Final Judgment Against California Man for Insider Trading (SEC Release)

Mark Uyeda Sworn in for Second Term as SEC Commissioner (SEC Release)

CFTC

FINRA

FINRA Fines and Suspends Rep for Inaccurate Rep Code In the Matter of Jimmy J. Galindo Respondent (FINRA AWC)

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