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5月11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/7031/securities-industry-commentator/

FINRA Board of Governors Fails to Confront Goldman Sachs $215 Million Gender Discrimination Settlement (BrokeAndBroker.com Blog)

SEC Says No Second Bite of FINRA Expungement Apple (BrokeAndBroker.com Blog)

The Fair But Unsatisfactory FINRA Arbitration Hearing (BrokeAndBroker.com Blog)

Goldman Sachs to pay $215 mln to settle gender discrimination lawsuit (Reuters)

1Cir Overturns Two Varsity Blues Fraud and Conspiracy Convictions

United States, Appellee, v. Gamal Abdelaziz, Defendant/Appellant

-and-

United States, Appellee, v. John Wilson, Defendant/Appellant

(Opinion, United States Court of Appeals For the First Circuit)

DOJ RELEASES

Congressman George Santos Charged with Fraud, Money Laundering, Theft of Public Funds, and False Statements / Santos Allegedly Embezzled Contributions from Supporters, Fraudulently Obtained Unemployment Benefits, and Lied in Disclosures to the House of Representatives (DOJ Release)

Former Employee Of Technology Company Sentenced To Six Years In Prison For Stealing Confidential Data And Extorting Company For Ransom (DOJ Release)

Lexington Investment Advisor and Attorney Sentenced to 120 Months for Investment Fraud (DOJ Release)

Former Coinbase Insider Sentenced In First Ever Cryptocurrency Insider Trading Case / Ishan Wahi Was Sentenced to Two Years in Prison for Tipping His Associates Regarding Crypto Assets That Were Going to be Listed on Coinbase Exchanges (DOJ Release)

Defendant extradited from the United Kingdom (DOJ Release)

SEC RELEASES

SEC Settles Fraud Charges Against Brazilian Reinsurance Company (SEC Release)

领英推荐

SEC Charges Tennessee Resident and Company with Selling Fraudulent Promissory Notes (SEC Release)

SEC Obtains Default Judgments Against Operators of Investment Fraud Scheme Targeting Hmong-Americans (SEC Release)

Court Enters Final Judgment Against Former Broker for Stealing from Elderly Investors (SEC Release)

SEC Charges Two Individuals for Facilitating Multi-Million Dollar Offering Fraud (SEC Release)

SEC Halts $155 Million Fraudulent Oil and Gas Offering Scheme (SEC Release)

SEC Denies Whistleblower Award to Claimant?

Order Determining Whistleblower Award Claim

SEC Denies Whistleblower Award to Claimant?

Order Determining Whistleblower Award Claim

CFTC RELEASES

FINRA RELEASES?

FINRA Sanctions Firm and CEO for Net Capital, U4 Amendments, and Payroll Taxes

In the Matter of Arque Capital, Ltd., and Michael C. Ning, Respondents (FINRA AWC)

FINRA Fines and Suspends Rep for Inaccurate Trade Confirmations

In the Matter of Michael R. Neill, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for Inaccurate Trade Confirmations

In the Matter of Jacob Harrison Leddy, Respondent (FINRA AWC)

Private Placements / FINRA Reminds Members of Their Obligations

When Selling Private Placements (FINRA Regulatory Notice 23-08)

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