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15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/6934/securities-industry-commentator/

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FINRA's Travesty of a Transamerica Settlement (BrokeAndBroker.com Blog)

Joint Statement by Department of the Treasury, Board of Governors of the Federal Reserve System, and Federal Deposit Insurance Corporation (March 12, 2023)

JOIN the Financial Professionals Coalition, Ltd

4Cir Affirms Denial of Motion to Vacate FINRA Arbitration Award

Kayvan Karoon; KS Capital Management, Inc., Appellants, v. National Securities Corporation (4 Cir Opinion)

Litigation funder Burford sues Sysco over $140 mln antitrust investment (Reuters by Mike Scarcella)

RIDING OFF INTO THE SUNSET / Alex Rosenberg says goodbye to Citywire RIA / Here’s what he’s learned about the RIA business over the past three years.

DOJ RELEASES

Arizona Licensed Insurance Agent Charged with Scheme to Defraud Elderly Clients (DOJ Release)

Two Men Plead Guilty to $1.3 Million Penny-Stock Scheme (DOJ Release)

Miami Man Charged for Running Fraudulent Cryptocurrency and Stock Investment Scheme (DOJ Release)

SEC RELEASES

Court Issues Amended Final Judgment Against Penny Stock "Mailman" and His Two Companies (SEC Release)

SEC Charges IT Services Provider DXC Technology Co. for Misleading Non-GAAP Disclosures (SEC Release)

SEC Charges California Fuel Business Operator with Defrauding Retail Investors and Misappropriating Funds (SEC Release)

SEC Obtains Judgment Against Individual in Multi-Million Dollar Securities Offering Fraud (SEC Release)

SEC Charges Water Treatment Company and Former Executive with Accounting Violations (SEC Release)

SEC Charges Investment Adviser for Failing to Adopt New Compliance Policies for Clients and Seek Best Execution Despite Prior Notice of Deficiencies (SEC Release)

Statement by SEC Chair Gary Gensler on Current Market Events

CFTC RELEASES?

FINRA RELEASES

FINRA Fines and Suspends Rep for Improper Removal of Customer Information In Anticipation of Joining New Firm

In the Matter of Brendan Ercole, Respondent (FINRA AWC)?

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