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29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/6682/securities-industry-commentator/


SEC Hides Disqualification Waiver Order In High Profile Recordkeeping Release (BrokeAndBroker.com Blog)


Former Financial Advisor Agrees to Plead Guilty to Aggravated Identity Theft (DOJ Release)


Rhode Island Man Convicted of Defrauding Investors and Tax Evasion / Diverted Millions to Fund His Lavish Lifestyle and Paid No Taxes (DOJ Release)


SEC Charges Four Individuals in Microcap Fraud Scheme Targeting Retail Investors (SEC Release)


SEC Charges The Hydrogen Technology Corp. and its Former CEO for Market Manipulation of Crypto Asset Securities / CEO of Hydrogen's "Market Maker" also being charged for role in scheme (SEC Release)


SEC Obtains Injunction, Industry Bar and Penny Stock Bar Against Unregistered Broker Engaged in Fraudulent Scheme (SEC Release)


SEC Charges Former Florida Investment Adviser with Misappropriating Millions from Advisory Clients and Former Alabama Adviser with Breaching Fiduciary Duties (SEC Release)


SEC Obtains Final Judgment against IIG Co-Founder for Engaging in Fraud (SEC Release)


SEC Charges Issuer for Conducting Fraudulent and Unregistered Securities Offerings (SEC Release)


SEC Obtains Judgments and Bar Against Former Hedge Fund CEO Related to Hedge Fund Valuation Scheme (SEC Release)


SEC Charges Fourth Participant in Market Manipulation Scheme (SEC Release)


FINRA Censures and Fines Morgan Stanley for Reg M Violations

In the Matter of Morgan Stanley & Co. LLC., Respondent (FINRA AWC)


FINRA Fines and Suspends Former Paulson Investment Company Rep for OBA Involving Treatments For Degenerative Brain Disease

In the Matter of Nickolay V. Kukekov, Respondent (FINRA AWC)


Interactive Brokers Loses FINRA Arbitration Involving Disputed Put Options

In the Matter of the Arbitration Between Justin S. Fraser, Claimant, v. Interactive Brokers LLC, Respondent (FINRA Arbitration Award)


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


SEC Charges 16 Wall Street Firms with Widespread Recordkeeping Failures / Firms admit to wrongdoing and agree to pay penalties totaling more than $1.1 billion (SEC Release)


CFTC Orders 11 Financial Institutions to Pay Over $710 Million for Recordkeeping and Supervision Failures for Widespread Use of Unapproved Communication Methods / Registered Swap Dealers and FCMs Admit Use of Texts, WhatsApp and Other Unapproved Methods to Conduct Business (CFTC Release)


Statement of CFTC Commissioner Christy Goldsmith Romero Regarding Holding Wall Street Accountable For Widespread Use of Unauthorized Communications Platforms, like Whatsapp and Signal, to Evade Regulatory Oversight


SEC Charges Purported Underwriter for His Role in Alleged Ponzi Scheme (SEC Release)


SEC Charges Former Executives At Moviepass and Its Parent Company for Making False Statements to Investors and Falsifying Books and Records (SEC Release)


CFTC Seeks to Revoke Registrations of Commodity Trading Advisor and Its Principal and Associated Person (CFTC Release)


FINRA Censures and Fines Garden State Securities for Solicitations During Distribution Period

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


FINRA Censures and Fines Wedbush Securities for Reg SHO Violations

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


FINRA Fines and Suspends Centaurus Financial Supervisor for Rep's UIT Recommendations

In the Matter of Michael G. Seymour, Respondent (FINRA AWC)

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SEC Settles Insider Trading Charges Against Former Investment Banking Analyst and Associate of Former NFL Player (SEC Release)


SEC Charges Oracle a Second Time for Violations of the Foreign Corrupt Practices Act / Company to Pay $23 Million to Settle Charges (SEC Releases)


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?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)


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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