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3月17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/6346/securities-industry-commentator/


One Day In the Life Of Lanny Breuer (the Moscow Anti-Corruption Summit) - Revisited 11 Years Later (BrokeAndBroker.com Blog)


Founder Of Cyberfraud Prevention Company Pleads Guilty To Defrauding Investors Of Over $100 Million / Adam Rogas Raised $123 Million From Investors Using Financial Statements That Showed Tens of Millions of Dollars of Revenue and Assets that Did Not Exist (DOJ Release)


Queens Man Pleads Guilty in Multi-Million Dollar Prize Notice Fraud Scheme / Three Defendants Have Now Pleaded Guilty to Conspiracy to Defraud Consumers (DOJ Release)


SEC Charges Texas School District and its Former CFO with Fraud in $20 Million Bond Sale (SEC Release)


FTC Orders London-Based Swap Dealer to Pay $3.25 Million for Swap-Data Reporting, Conflicts of Interest, Mid-Market Mark, and Supervision Failures (CFTC Release)


Keynote of CFTC Chairman Rostin Behnam at the FIA Boca 2022 International Futures Industry Conference


Report From FINRA Board of Governors Meeting – March 2022 / Board Approves Rulemaking Items and Use of 2021 Fine Monies; Meets With SEC Chair Gary Gensler (FINRA Release)


FINRA Fines and Suspends Rep for Mismarking Mutual Fund Trades as Unsolicited

In the Matter of Steven Martin Barnett, Respondent (FINRA AWC)


FINRA Fines and Suspends Rep for Private Securities Transactions

In the Matter of Donovan Thomas Kelly , Respondent (FINRA AWC)


SEC Claims Review Staff Tortures Whistleblower With Denial of Eventual $14 Million Award (BrokeAndBroker.com Blog)



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