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: 2023年3月1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/6909/securities-industry-commentator/

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Federal Court Deems FINRA Absolutely Immune in Expungement Lawsuit (BrokeAndBroker.com Blog)

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4Cir Remands SEC's Case To District Court For Some Old Fashioned Jury Muddling (BrokeAndBroker.com Blog)

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JOIN the Financial Professionals Coalition, Ltd

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BREAKING NEWS: Supreme Court?Pegs The Bank Secrecy Acts's $10,000 maximum penalty for the nonwillful failure to file a compliant report to a per-report and not per-account basis.

Alexandru Bittner, Petitioner v. United States (Opinion, United States Supreme Court, No, 20-1195 / February 28, 2023)

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DOJ RELEASES

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Niagara Falls Woman Going To Prison For Stealing Hundreds Of Thousands Of Dollars From Investment Firm Clients (DOJ Release)

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Wells Fargo Agrees to Training on New Companywide Policy to Improve Telephone Access by Customers Who are Deaf or Hard of Hearing (DOJ Release)

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Former Bank Employee Convicted After Trial for Fraudulently Opening Bank Accounts (DOJ Release)

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SEC RELEASES

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SEC Charges Nishad Singh with Defrauding Investors in Crypto Asset Trading Platform FTX (SEC Release)

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SEC Charges Texas Stockbroker for Stealing Funds from Elderly Customers (SEC Release)

领英推荐

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SEC Orders Affiliated Investment Advisers to Repay Clients for Failing to Disclose Conflicts and Duty of Care Violations (SEC Release)

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Statement Regarding Huntleigh Advisors, Inc. and Datatex Investment Services, Inc. by SEC Commissioner Hester M. Peirce and SEC Commissioner Mark T. Uyeda

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SEC Denies Whistleblower Awards to Claimant?

Order Determining Whistleblower Award Claim

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CFTC RELEASES

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CFTC Charges FTX Co-Owner with Fraud by Misappropriation and Aiding and Abetting Fraud Related to Digital Asset Commodities / Nishad Singh to Concede Liability in Proposed Consent Order (CFTC Release)

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CFTC Whistleblower Alert: Blow the Whistle on Romance Investment Frauds in the Commodities and Derivatives Markets (CFTC Alert)

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FINRA RELEASES

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FINRA Censures and Fines Member Firm for Risk Management Controls and Supervisory Procedures

In the Matter of Fenix Securities, LLC, Respondent (FINRA AWC)

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FINRA Fines and Suspends NRF for Unauthorized Materials at SIE Exam

In the Matter of Thomas M. O'Keefe, Respondent (FINRA AWC)

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FINRA Arbitration Panel Slams Morgan Stanley With Multi-Million Dollar Compensatory/Punitive Damages in Charles Schwab Lawsuit

In the Matter of the Arbitration Between Charles Schwab & Co., Inc, Claimant, v. Morgan Stanley, Christopher Robert Armstrong, Randall Brian Kiefner, Respondents (FINRA Arbitration Award)

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