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11月17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/7186/securities-industry-commentator/

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The Regulatory Hypocrisy Of The SEC's New Clearing Agency Governance And Conflicts Rules (BrokeAndBroker.com Blog)

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Attorney General James and Multistate Coalition Secure $6.5 Million from Morgan Stanley for Failing to Protect Customer Data / Morgan Stanley to Pay New York $1.6 Million for Compromising the Personal Information of 1.1 Million New Yorkers (NYAG Release)

DOJ

Boston Man Sentenced for Securities Fraud (DOJ Release)

Former Needham Police Officer Sentenced for Insider Trading Conspiracy (DOJ Release)

Bergen County Investment Advisor Indicted for Stealing Millions from Clients (DOJ Release)

CEO of San Diego Financial Firm Charged in Loan Scam (DOJ Release)

SEC

SEC Adopts Rules to Improve Clearing Agency Governance and Mitigate Conflicts of Interest (SEC Release)

Statements on Clearing Agency Governance Rules by SEC Chair and Commissioners

SEC Settles Case Against Investment Adviser and its Principal Alleged to Have Engaged in a Fraudulent “Cherry-Picking” Scheme (SEC Release)

SEC Charges Algorithmic Trader Matthew Melton with Defrauding Investors Out of More Than $1.5 Million (SEC Release)

Charter Communications to Pay $25 Million Penalty for Stock Buyback Controls Violations (SEC Release)

领英推荐

The SEC’s Swiss Army Statute: Statement on Charter Communications, Inc. by SEC Commissioner Hester M. Peirce and SEC Commissioner Mark T. Uyeda

CFTC

Federal Court Orders Illinois Man and His Entities to Pay Over $20 Million in Restitution and Penalties for Commodity Pool Ponzi Scheme (CFTC Release)

FINRA

FINRA Censures and Fines Morgan Stanley Smith Barney for ETF Prospectuses Deliveries In the Matter of Morgan Stanley Smith Barney LLC, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for Unauthorized Mutual Fund Purchases In the Matter of Jeffrey A. Russell, Respondent (FINRA AWC)

FINRA Censures and Fines Wedbush Securities Inc. for Supervision In the Matter of Wedbush Securities Inc., Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for Outside Brokerage Account In the Matter of Robert Joseph DeHayes, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for Adding Information to Documents In the Matter of John Ginsburg, Respondent (FINRA AWC)

FINRA Censures and Fines H.C. Wainwright & Co for Net Capital Calculations In the Matter of H.C. Wainwright & Co., LLC, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for Unauthorized Transactions and Discretion In the Matter of Jilena Yuen-Han Mok, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for Acting as Fiduciary In the Matter of Royal Gregory Fisher, Respondent (FINRA AWC)

FINRA Censures and Fines Haywood Securities (USA) Inc. for Reg BI In the Matter of Haywood Securities (USA) Inc., Respondent (FINRA AWC)

FINRA Censures and Fines Puma Capital LLC for Reg NMS Trade-Throughs In the Matter of Puma Capital LLC, Respondent (FINRA AWC)

FINRA Suspends Rep for Willful Failure to Disclose Felony Charge In the Matter of Fedelyne Cemoin, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for Mismarking Order Tickets as Unsolicited In the Matter of Robert W. Clayton, Jr., Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for Outside Securities Account In the Matter of John Roddy Hughes, Respondent (FINRA AWC)

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