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

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/5853/securities-industry-commentator/


Claimant alleged that Respondents allowed an unnamed party to use the Company as a conduit 

In the Matter of the Arbitration Between Donna J. Wagner, Claimant, v. Brokers International Financial Services, LLC and Mark Christopher Perry, Respondents (FINRA Arbitration Award)


Human Resources Manager Pleads Guilty to Defrauding Employer Through Payroll and COVID-19 Testing Schemes (DOJ Release)


CEO of San Diego Startup Sentenced for Bilking more than $1.5 Million from his Company (DOJ Release)


CFTC Orders Connecticut Firm to Pay $500,000 for Wash Sales (CFTC Release)


Zoom Arbitration One Year Later: Lessons Learned, Tips for Practitioners and the Road Ahead (FINRA Unscripted)


FINRA Publishes Helpful Notice About Online Account Takeover (ATO) (BrokeAndBroker.com Blog)


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