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9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/6439/securities-industry-commentator/


FINRA Arbitrators and Federal Courts Consider If A Terminable-At-Will Employee Can Be Wrongfully Terminated (BrokeAndBroker.com Blog)


Jury Convicts Southern Illinois University-Carbondale Professor of Concealing Foreign Bank Account from the Internal Revenue Service (DOJ Release)


Salt Lake City Estate Planning Attorney Sentenced to 97 Months in Prison and Ordered to Pay over $12.7 Million Dollars to 26 Victims (DOJ Release)


CEO of Mining Capital Coin Indicted in $62 Million Cryptocurrency Fraud Scheme (DOJ Release)


SEC Halts Fraudulent Cryptomining and Trading Scheme / Founders allegedly promised big returns, instead used investments to fund lavish lifestyles (SEC Release)


SEC Obtains Judgment Requiring Disbarred Attorney to Pay Nearly $1 Million for Violating His Suspension from Appearing or Practicing as an Attorney Before the Commission (SEC Release)


SEC Charges NVIDIA Corporation with Inadequate Disclosures about Impact of Cryptomining (SEC Release)


United States Settles Suit Against VoIP Service Providers for Facilitating Millions of Illegal Telemarketing Calls about COVID-19 (DOJ Release)


Merrill Lynch Associated Person Hit With Over $11 Million in Damages/Fees in FINRA Customer Arbitration

In the Matter of the Arbitration Between Janice J. Compton, Claimant, v. Merrill Lynch Pierce Fenner & Smith Inc. and Thomas Joseph Buck, Respondents (FINRA Arbitration Award)

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