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7月13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/6549/securities-industry-commentator/


Boustead Securities Survives Motion to Dismiss in Success Fee Dispute (BrokeAndBroker.com Blog)


FINRA Arbitrators Award $1.6 Million in Dispute Over Fees for Services and Engagement Letter

Bardavon Health Innovations L.L.C., Claimant, v. Spurrier Capital Partners LLC, Respondent (FINRA Arbitration Award)


Durham, N.C. Man Admits To Operating An Unlicensed Cryptocurrency Business And Related Tax Charges (DOJ Release)


Four Canadian Nationals Charged with Defrauding U.S. and Canadian Investors in Diamond Scheme (DOJ Release)


Hunterdon County Man Sentenced to 33 Months in Prison for Producing Phony Massage Therapy Training Certificates for Prostitution Businesses (DOJ Release)


Clarksville Man Sentenced to Over Three Years in Federal Prison for Bilking Investors Out of Over $1.4 Million (DOJ Release)


Former Battle Ground, Washington, bank branch manager charged with stealing over $1 million from elderly customers / Allegedly used authority and access to conduct unauthorized transactions (DOJ Release)


SEC Obtains Final Judgment Against New York Attorney Charged with Multi-Million Dollar Offering Fraud (SEC Release)


Statement on Single-Stock Levered and/or Inverse ETFs by SEC Director, Office of Investor Education and Advocacy Lori J. Schock


Statement on Single-Stock ETFs by SEC Commissioner Caroline A. Crenshaw


SEC Denies Award To Whistleblower Claimant

Order Determining Whistleblower Award Claims


SEC Denies Award To Whistleblower Claimant

Order Determining Whistleblower Award Claims


SEC Denies Award To Whistleblower Claimant

Order Determining Whistleblower Award Claims


Guest Blog: Fair Credit Reporting Act (FCRA) and Regulation S-P by Regulated or Aggrieved (BrokeAndBroker.com Blog)

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