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9月21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/7160/securities-industry-commentator/

JP Morgan Securities Ordered to Pay $1.4 Million in Damages in Unexplained Arbitration (BrokeAndBroker.com Blog)

Lackluster FINRA Board Mishandled 2023 Election and Refuses to Disclose Vote Tally (BrokeAndBroker.com Blog)

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DOJ

Former Congressman Sentenced To 22 Months In Prison For Insider Trading / Stephen Buyer Misappropriated Material Non-Public Information from His Former Consulting Clients, T-Mobile Corporation and Guidehouse (SEC Release)

South Carolina Man Admits Securities Fraud, Bank Fraud, and Wire Fraud Schemes (DOJ Release)

Two Individuals, Including A Former Pharmaceutical Executive, Plead Guilty To Participating In Insider Trading Scheme Surrounding Alexion Pharmaceuticals’ Acquisition Of Portola Pharmaceuticals / Joseph Dupont Misappropriated Deal Information from Alexion, Where He Was a Vice President, and Provided that Information to a Childhood Friend, Who, in Turn, Shared the Information with Slava Kaplan, Who Used It to Trade and to Tip Others (DOJ Release)

SEC

SEC Approves Revised Privacy Act Rule (SEC Release)

SEC Adopts Rule Enhancements to Prevent Misleading or Deceptive Investment Fund Names (SEC Release)

SEC Statements On Names Rule Amendments

SEC Charges Lawyer for Violations in Connection with Crypto Asset Securities Offering (SEC Release)

SEC Charges Florida Investment Adviser and Its President with Fraud and Failing to Produce Records to SEC Examinations Staff (SEC Release)

SEC Charges California Resident with Multimillion Dollar Ponzi Scheme Targeting Tongan American Community (SEC Release)

领英推荐

SEC Charges New York Firm Concord Management and Owner with Acting as Unregistered Investment Advisers to Billionaire Former Russian Official / Firm and Owner’s failures to register prevented oversight of more than $7 billion in assets (SEC Release)

SEC Charges CBRE, Inc. with Violating Whistleblower Protection Rule (SEC Release)

SEC Charges Texas CBD-Inhaler Company and Its CEO in Fraudulent Securities Offerings (SEC Release)

SEC Charges Florida Resident and Resident's Two Companies for Operating as Unregistered Broker-Dealers (SEC Release)

SEC Charges Financial Professional with Insider Trading in His Company's Securities (SEC Release)

SEC Charges Lyft with Failure to Disclose Board Member’s Financial Interest in Private Shareholder’s Pre-IPO Stock Transaction (SEC Release)

SEC Charges Registered Representative with Causing Brokerage Firm's Failure to Timely File a SAR Concerning Suspicious Wires Surrounding an Acquisition Announcement (SEC Release)

Caught in a SAR Trap: Statement on In the Matter of Pierre Economacos by SEC Commissioner Hester M. Peirce and SEC Commissioner Mark T. Uyeda

CFTC

CFTC Orders Chicago-based Advantage Futures LLC to Pay $395,000 for Supervision Failures (CFTC Release)

CFTC Orders StoneX Markets LLC to Pay $650,000 for Violations of Swap Business Conduct Standards / Swap Dealer Admits It Failed to Disclose Pre-Trade Mid-Market Marks and Failed to Diligently Supervise its Compliance Process (CFTC Release)

CFTC Grants Two Whistleblower Awards Totaling Over $15 Million (CFTC Release)

FINRA

FINRA Bars Rep for Private Securities Transactions In the Matter of Leslie D. Jackson, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for Recommendation of Non-Traded REIT In the Matter of Elba M. Nogueras, Respondent (FINRA AWC)

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