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10月25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/6728/securities-industry-commentator/


The Problem for A Merrill Lynch Registered Rep Seeking the Expungement of a Settled FINRA Arbitration (BrokeAndBroker.com Blog)


TD Ameritrade Customer Loses Incorrect Address FINRA Arbitration

(BrokeAndBroker.com Blog)


DOJ RELEASES


Three Men Convicted of $1 Million 'Upfront-Fee' Scheme (DOJ Release)


Former Raleigh Investment Advisor Found Guilty in Healthcare Fraud that Targeted the Elderly and Disabled (DOJ Release)


Sarasota Man Sentenced To 23 Years In Federal Prison For Running $80 Million "Oasis" FOREX Ponzi Scheme (DOJ Release)


Chesterfield Man Convicted in Scheme to Embezzle Funds in Law Firm Trust Account (DOJ Release)


SEC RELEASES


SEC Charges Canadian Cannabis Company and Former Senior Executive with Accounting Fraud (SEC Release)


SEC Obtains Final Judgment Against Investment Advisers Charged with Defrauding Their Advisory Clients (SEC Release)


SEC Charges Mattel with Financial Misstatements and Former PwC Audit Partner with Improper Professional Conduct (SEC Release)


领英推荐

SEC Obtains Judgments Against Three Defendants in a Microcap Fraud Scheme (SEC Release)


SEC Grants Waiver for Deficient Form TCR and Awards Claimant Over $400,000 Whistleblower Award

Order Determining Whistleblower Award Claims


SEC Awards Two Claimants Over $1 Million and Over $500,000 in Whistleblower Awards

Order Determining Whistleblower Award Claims


"Competition and the Two SECs" Remarks Before the SIFMA Annual Meeting by SEC Chair Gary Gensler


CFTC RELEASES


FINRA RELEASES


FINRA Fines and Suspends Rep for Falsifying Rep Code

In the Matter of Robert Louis Takacs, Respondent (FINRA AWC)


FINRA Fines and Suspends Rep for Guaranteeing Customer Against Loss and Texting

In the Matter of Dennis David Karjala, Respondent (FINRA AWC)


FINRA Fines and Suspends Rep for PSTs

In the Matter of Chad M. Koehn, Respondent (FINRA AWC)


FINRA Fines and Suspends Rep for Excessive Trading

In the Matter of Stephen James Sullivan, Respondent (FINRA AWC)

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