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22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/6946/securities-industry-commentator/

Financial Professionals Coalition, Ltd Endorses Ronald Filler, Esq's FINRA Petition for Direct Registration Exam (BrokeAndBroker.com Blog)


Should FINRA stop requiring sponsorship to take the Series 7 Exam (Capital Advantage Tutoring?by Kenneth Finnen)

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Financial Professionals Coalition, Ltd. JOIN TODAY -- FREE MEMBERSHIP (BrokeAndBroker.com Blog)


MIGUEL LUNA PEREZ, PETITIONER v. STURGIS PUBLIC SCHOOLS, ET AL. (Opinion, United States Supreme Court, 598 U. S. ____ (2023), No. 21–887 / March 21, 2023)

March 20, 2023, Letter to Jerome Powell, Chair, Board of Governors of the Federal Reserve System from Patrick McHenry, Chairman, House Committee on Financial Services -and- Tim Scott, Ranking Member, Senate Committee on Banking,Housing, and Urban Affairs

Sysco Says $140 Million Litigation Funder Blocking Lawyer Change/Buford Capital is blocking Sysco from settling price-fixing cases/Sysco dropped previous lawyer, who it accused of siding with funder (Bloomberg Law by Emily Siegel)

DOJ RELEASES


Last individual admits role in nationwide fraud scheme targeting elderly victims (DOJ Release)


Bulgarian Woman Charged For Role In Multi-Billion-Dollar Cryptocurrency Pyramid Scheme “OneCoin” And Extradited From Bulgaria To The United States / Dilkinska was Head of Legal and Compliance for Fraudulent Cryptocurrency Marketed and Sold to Millions of Victims Around the World, Resulting in Billions of Dollars in Losses (DOJ Release)


SEC RELEASES


SEC Obtains Final Judgment Against Former CFO Charged with Fraud and Lying to Auditors (SEC Release)

领英推荐


Remarks to Investment Company Institute 2023 Investment Management Conference by SEC Commissioner Mark T. Uyeda

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CFTC RELEASES


CFTC Revokes Registrations of Allianz Global Investors US LLC (CFTC Release)


CFTC Orders Puerto Rico Commodity Pool Operator to Pay $150,000 for Supervision and Reporting Violations (CFTC Release)

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FINRA RELEASES?


FINRA Censures and Fines Hornor, Townsend & Kent, LLC Supervision of OBA

In the Matter of Hornor, Townsend & Kent, LLC, Respondent (FINRA AWC)

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FINRA Suspends Rep For Inaccurate Customer Contact Notes

In the Matter of Derek John Rehill, Respondent (FINRA AWC)

FINRA Arbitration Panel Awards Customer Nearly $19,000 in Damages Against Morgan Stanley for Account Liquidation

In the Matter of the Arbitration Between Estate of Richard W. Shettle, Claimant, v. Morgan Stanley, Respondent (FINRA Arbitration Award)

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