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12月13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/6801/securities-industry-commentator/


Intellivest Securities Hunts Down Raiders Who Allegedly Gutted The Brokerage Firm (BrokeAndBroker.com Blog)


DOJ RELEASES


US Attorney SDNY @SDNYnews / 6:52 PM Dec 12, 2022 / USA Damian Williams (Arrest/Indictment of Samuel Bankman-Fried)


Maryland U.S. Attorney's Office Announces the Seizure of 55 Domain Names that Violated Copyrights by Illegally Live Streaming the World Cup (DOJ Release)


SEC RELEASES


SEC Charges Samuel Bankman-Fried with Defrauding Investors in Crypto Asset Trading Platform FTX / Defendant concealed his diversion of FTX customers’ funds to crypto trading firm Alameda Research while raising more than $1.8 billion from investors (SEC Release)


SEC Awards Over $20 Million Whistleblower Award to Claimant

Order Determining Whistleblower Award Claims


CFTC RELEASES


CFTC Orders Minnesota Registrant to Pay $550,000 for Cross-Product, Cross-Calendar, and Single-Product Spoofing in Soybean Complex Futures (CFTC Release)


FINRA RELEASES


Rep Alleges Termination Without Cause and?Seeks 14 Days Pay and Personal Time Off

In the Matter of the Arbitration Between Yusuf A. Hai, Claimant, v. CIG Securities, Osman Radwan Minkara, Kenneth Gerard Chaput, CIG Capital Advisors Inc., and CIG Asset Management, Inc., Respondents (FINRA Arbitration Award)


Public Customer Cites Churning and Unsuitability in FINRA Arbitration

In the Matter of the Arbitration Between Ronald F. Gagnon, Claimant, v. Worden Capital Management LLC, Jamie John Worden, Richard Foerster Reynolds, and Michael Richard Rosalia, Respondents (FINRA Arbitration Award)

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