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22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/6670/securities-industry-commentator/


GUEST BLOG: A Personal Message From Granville A. Ungerleider, Candidate for FINRA 2022 Small Firm Member of the NAC (BrokeAndBroker.com Blog)


Arcadia Man Charged with Securities Fraud for Stealing Client Funds and Concealing His Investment Firm’s Massive Financial Losses (DOJ Release)


SEC Charges Former Registered Investment Advisor Representative with Securities Fraud (SEC Release)


SEC Charges Recidivists for Violations of a Previous Commission Order (SEC Release)


FINRA Fines and Suspends Former Rep for Non-disclosure of Misdemeanor Theft Charge

In the Matter of Jimmie Scott Griffea, Respondent (FINRA AWC)


FINRA Censures and Fines IBN Financial Services, Inc. for OBA Supervision

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


Wells Fargo Wins FINRA Arbitration Against Former Rep With Three On And Off Lawyers (BrokeAndBroker.com Blog)


Manhattan Real Estate Fund Manager Sentenced To Prison For Securities Fraud (DOJ Release)


SEC Charges Cheetah Mobile's CEO and its Former President with Insider Trading / Executives Sold Securities through a Purported 10b5-1 Trading Plan (SEC Release)


SEC Charges Securities Professional and Former Corporate Insider with Insider Trading (SEC Release)


SEC Denies Whistleblower Award to Claimant

Order Determining Whistleblower Award Claims


SEC Buries the Lede About Stunning Misconduct in Its Office of the Ombudsman (BrokeAndBroker.com Blog)


Former U.S. Department of Housing and Urban Development Assistant Inspector General Convicted of Falsifying Financial Disclosure Forms (DOJ Release)

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Area man who claimed to be African prince convicted by jury of several fraud crimes (DOJ Release)


SEC Charges Investment Adviser with Violating the Proxy Voting Rule (SEC Release)


Statement Regarding In the Matter of Toews Corporation by SEC Commissioner Hester Peirce and Commissioner Mark T. Uyeda


SEC Awards Joint Claimants Almost $280,000 Whistleblower Award

Order Determining Whistleblower Award Claims


Morgan Stanley Smith Barney to Pay $35 Million for Extensive Failures to Safeguard Personal Information of Millions of Customers (SEC Release)


Sparkster to Pay $35 Million to Harmed Investor Fund for Unregistered Crypto Asset Offering / Crypto Asset Promoter Ian Balina Charged for Touting Tokens Without Disclosing Compensation (SEC Release)


SEC Obtains Final Judgment Against Municipal Advisor and Its Owner in Municipal Bond Offering Schemes (SEC Release)


FINRA Bars Former Merrill Lynch Rep for Conversion of Childcare Reimbursements

In the Matter of Jared Winston, Respondent (FINRA AWC)


Opening Remarks to the Institute for Inclusion in the Legal Profession by SEC Chair Gary Gensler


U.S. Promoter of Foreign Cryptocurrency Company Sentenced to Prison for Role in Fraud Scheme (DOJ Release)


Federal Court Orders Defendants to Pay More than $6.6 Million for Defrauding Binary Options Pool Participants (CFTC Release)


FINRA Fines and Suspends Former Wells Fargo Clearing Services Rep for Suitability Involving New Issue Preferred Securities and Cell Phone Communications

In the Matter of Solomon Wei-En Hua, Respondent (FINRA AWC)


FINRA Enforcement: Bringing Cases Against Individual Brokers (FINRA Unscripted)

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