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23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/6947/securities-industry-commentator/

SEC Tells FINRA to Raise the Gate For Ineligible Expungement Case (BrokeAndBroker.com Blog)

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

Robinhood hits class-action marketing firm with subpoena in spam text case (Bloomberg by Alison Frankel)

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

Are annuities an investment? A new SEC lawsuit against a financial advisor argues yes (Financial Planning by Dan Shaw)

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

Former Lumentum Executive Pleads Guilty To Insider Trading / Amit Bhardwaj Misappropriated Information About Impending Corporate Transactions to Trade on that Information and Tip His Associates (DOJ Release)

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 Charges Crypto Entrepreneur Justin Sun and his Companies for Fraud and Other Securities Law Violations / Eight celebrities also charged for illegal touting of Sun’s crypto asset securities (SEC Release)

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

SEC Proposes to Modernize the Submission of Certain Forms, Filings, and Materials Under the Securities Exchange Act of 1934 (SEC Release)

Statement on Electronic Filing by SEC Chair Gary Gensler

Statement on the Proposed Expansion of Electronic Filing by SEC Commissioner Caroline A. Crenshaw

Modernizing the Filing Process for Market Participants by SEC Commissioner Jaime Lizárraga

Statement on Trading and Markets Proposal to Move from Paper to Electronic Filing Under Various Rules by SEC Commissioner Hester M. Peirce

Statement on Electronic Filing of Certain Forms and Other Filings Under Securities Exchange Act of 1934; Technical Amendments Regarding FOCUS Report by SEC Commissioner Mark T. Uyeda

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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