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9月14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/6657/securities-industry-commentator/


The Deceased Customer, His Estate, The Merrill Lynch Employee, The Trusts, The Annuity, the Expert, and the Lawsuit (BrokeAndBroker.com Blog)


Banker Pleads Guilty to Bank Secrecy Act Charges (DOJ Release)


SEC Denies Whistleblower Award to Claimant Citing NFA Status

Order Determining Whistleblower Award Claims


SEC Charges South Florida Venture Capital Firm and Others with Acting as Unregistered Brokers and Selling $3 Million in Securities to Investors (SEC Release)


FINRA Fines and Suspends Former MM Global Securities Rep for Instant Messaging

In the Matter of Peng Zhang, Respondent (FINRA AWC)


UPDATED: Stone Cold Day of Reckoning for FINRA and Self Regulation (BrokeAndBroker.com Blog)


STANDING RESPONSE TO DMCA TAKEDOWN NOTICES PERTAINING TO COVERAGE OF In the Matter of the Arbitration Between Jay Lombard, Claimant vs. GunnAllen Financial, Inc., and David Neil Soiferman, Respondents / RE-POSTED IN RESPONSE TO September 13, 2022 / DMCA Takedown Notice. Prior 2020 DMCA Notice Reversed


Man Sentenced to 135 months for Operating a "Ponzi" Scheme and Committing Securities and Bank Fraud (DOJ Release)


SEC Charges Former Investment Adviser with Stealing from Clients (SEC Release)


SEC Awards Joint Claimants $500,000 Whistleblower Award

Order Determining Whistleblower Award Claims


SEC Charges Four Underwriters in First Actions Enforcing Municipal Bond Disclosure Law (SEC Release)


SEC Brings Settled Actions Charging Cherry-Picking and Compliance and Supervisory Failures (SEC Release)


SEC Charges VMware with Misleading Investors by Obscuring Financial Performance (SEC Release)


Tippee Pleads Guilty In First Ever Cryptocurrency Insider Trading Case / Nikhil Wahi Traded Based on Tips From a Former Coinbase Employee Regarding Crypto Assets That Were Going to be Listed on Coinbase Exchanges (DOJ Release)


Romanian National Sentenced to Prison for Role in International Online Auction Fraud Scheme (DOJ Release)

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FINRA Fines BofA Securities, Inc. $5 Million for Large Options Position Reporting Failures / Firm Failed to Report Over-the-Counter Options Positions in More Than 7.4 Million Instances (FINRA Release)


SEC Charges Hudson Advisors and Lone Star Global for Failing to Disclose that Fund Fees Included More Than $50 Million of Owner’s Income Tax Liability (SEC Release)


Remarks at the "SEC Speaks" Conference 2022 by SEC Commissioner Mark T. Uyeda


SEC Denies Whistleblower Award to Claimant?

Order Determining Whistleblower Award Claims


SEC Denies Whistleblower Award to Claimant?

Order Determining Whistleblower Award Claims


SEC Denies Whistleblower Award to Claimant?

Order Determining Whistleblower Award Claims


SEC Denies Whistleblower Award to Claimant Citing Untimely Filing

Order Determining Whistleblower Award Claims


SEC Denies Whistleblower Award to Claimant Citing "Potential or Theoretical Use"

Order Determining Whistleblower Award Claims


FINRA Censures and Fines SagePoint for Financial Margin Suitability

In the Matter of SagePoint Financial, Inc., Respondent (FINRA AWC)


FINRA Censures, Fines, and Imposes Outside Consultant Undertaking on Glendale Securities

In the Matter of Glendale Securities, Inc., Respondent (FINRA AWC)


FINRA Censures, Fines, and Prohibits Market Access in MM Global Securities, Inc. Settlement

In the Matter of MM Global Securities, Inc., Respondent (FINRA AWC)


FINRA Fines and Suspends Former NYLife Securities LLC Rep for Private Securities Transaction and OBA

In the Matter of Ronald Coy Bailey, Respondent (FINRA AWC)

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