Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer 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.
Securities Industry Commentator:
A legal, regulatory, and compliance feed
curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6993/securities-industry-commentator/
2Cir Remands to EDNY Disparate Sentence In Boiler Room Pumping (BrokeAndBroker.com Blog)
Financial Professionals Coalition, Ltd.
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Audio and Transcript of April 17, 2023, SCOTUS Oral Argument: Slack Technologies, Inc. v. Pirani
Former broker accused of duping friends, classmates and colleagues out of $1M in crypto-fueled fraud (Financial Planning by Justin L. Mack)
Texas Securities Board Enters Final Order Against Crypto Firm Nexo Capital, Inc. (TSSB Release)
DOJ RELEASES
Florida Woman Pleads Guilty To Defrauding Holocaust Survivor Of $2.8 Million In Connection With Romance Scam (DOJ Release)
SEC RELEASES
SEC Charges Crypto Asset Trading Platform Bittrex and its Former CEO for Operating an Unregistered Exchange, Broker, and Clearing Agency / Bittrex Global GmbH also charged for failing to register as a national securities exchange (SEC Release)
SEC Obtains More Than $5 Million in Final Judgments Against Two Defendants in IIIicit Trading Scheme (SEC Release)
CFTC RELEASES
FINRA RELEASES?
FINRA Fines and Suspends Rep For Removing Customer Information
In the Matter of Randell J. Ogden, Respondent (FINRA AWC)
FINRA Censure and Fines Regal Securities for Supervision
In the Matter of?Regal Securities, Inc., Respondent (FINRA AWC)