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27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/6680/securities-industry-commentator/


Whistleblower Angered by SEC's Split of $27 Million Award (BrokeAndBroker.com Blog)


Attorney General James Sues Cryptocurrency Platform for Operating Illegally and Defrauding Investors / Nexo Failed to Register as Required by New York Law and Lied to Investors about Their Registration (NYAG Release)


Dallas Man Charged In $26 Million Real Estate Scam (DOJ Release)


SEC Charges Fraud in Real Estate Investment Offering (SEC Release)


SEC Charges Georgia Brothers in Fraudulent "Free-Riding" Scheme (SEC Release)


CFTC Orders Texas Commodity Trading Advisor to Pay $200,000 for Failing to Register as a Swap Execution Facility (CFTC Release)


CFTC Orders Wisconsin Resident and Company to Pay Over $190,000 for Failing to Register as an Introducing Broker and Other Violations (CFTC Release)


Barclays Capital Loses Gender Discrimination Case in FINRA Arbitration

In the Matter of the Arbitration Between Fatima Menou, Claimant, v. Barclays Capital, Inc., Rohit Chaku, and Xiao "Sean" Huang, Respondents (FINRA Arbitration Award 21-00141)


Sioux Falls Man Arrested for Role in Bank Fraud & Money Laundering Conspiracies (DOJ Release)


Former Securities Brokers Sentenced to Federal Prison Terms for Perpetrating Securities Fraud Scheme (DOJ Release)


Former Broker Sentenced to 36 Months in Prison for Stock Fraud Scheme (DOJ Release)


Business Partner Of Art Dealer Inigo Philbrick Pleads Guilty To Defrauding Art Buyers And Financers (DOJ Release)


领英推荐

Idaho I.T. Professional Pleads Guilty To Misappropriating Pre-Publication Investment Recommendations For Insider Trading Scheme / David Stone Electronically Accessed an Investment Advice Service’s Unannounced Stock Picks and Used That Information to Generate Millions in Trading Profits and to Provide Inside Tips to Another (DOJ Release)


Three Men Charged with International Market Manipulation Scheme (DOJ Release)


SEC Charges Father-Son Duo and Associate in Market Manipulation Schemes Resulting in a New Jersey Deli with a $100 Million Valuation (SEC Release)


SEC Charges Florida Resident with Operating a $2.3 Million Ponzi Scheme Targeting Haitian-American Community (SEC Release)


SEC Charges Compass Minerals for Misleading Investors about Its Operations at World’s Largest Underground Salt Mine / Company also Charged for Disclosure Control Failures Involving Mercury Contamination in Brazil (SEC Release)


SEC Charges Executives and Director with Lying to Auditors (SEC Release)


SEC Charges Los Angeles-Based Company and Its Principal with Perpetrating an $11.7 Million Offering Fraud Targeting the Vietnamese-American Community (SEC Release)


SEC Charges Company President in Fraudulent Microcap Scheme (SEC Release)


SEC Charges Convertible Note Firm and Its Managing Member with Acting as Unregistered Securities Dealers (SEC Release)


CFTC Orders California Trader and Prop Firm to Pay $750,000 for Spoofing in Treasury Futures (CFTC Release)


CFTC Orders Wisconsin Resident and Company to Pay Over $190,000 for Failing to Register as an Introducing Broker and Other Violations (CFTC Release)


FINRA Censures and Fines Former Morgan Stanley Rep for Discretion and Text Messaging

In the Matter of Miche D. Jean, Respondent (FINRA AWC)


FINRA Censures and Fines H.C. Wainwright and Two IB Principals for Text Messages

In the Matter of H.C. Wainwright & Co., LLC, John Wesley Chambers, and Robert Eugene Kristal, Respondents (FINRA AWC)

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