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29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/7187/securities-industry-commentator/

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Oral Argument At SCOTUS On SEC V. Jarkesy (BrokeAndBroker.com Blog)

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CFPB Orders Bank of America to Pay $12 Million for Reporting False Mortgage Data / Loan officers routinely falsified forms about mortgage applicants (CFPB Release)

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Financial Professionals Coalition, Ltd. JOIN TODAY -- FREE MEMBERSHIP

DOJ

Vancouver Man to Plead Guilty to Securities Fraud Conspiracy / Defendant allegedly conspired to facilitate pump-and-dumps of microcap securities using nominee entities under his control (SEC Release) Former Insider At Major Financial Services Organization Admits Involvement In Multimillion-Dollar Insider Trading Ring (SEC Release)

Recidivist Fraudster Sentenced To 212 Months In Prison In Connection With $40 Million Ponzi Scheme And Other Frauds (DOJ Release)

United Kingdom National Pleads Guilty to Hacking, Securities Fraud, and other Cybercrimes / Scheme Netted More than $6 Million (DOJ Release)

SEC

SEC Obtains Judgments Against Three Defendants for Insider Trading Prior to Pharmaceutical Merger (SEC Release)

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SEC Adopts Rule to Prohibit Conflicts of Interest in Certain Securitizations (SEC Release)

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Statements by SEC Chair and Commissioners on Rule 192

CFTC

FINRA

FINRA Fines and Suspends Rep for E-Commerce and Lead Generation OBAs In the Matter of Ian James Prukner, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for E-Commerce and Lead Generation OBAs In the Matter of Melton Weaver III, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for Electronic Signatures In the Matter of Jacob Pae, Respondent (FINRA AWC )

FINRA Fines and Suspends Rep for Inaccurate Customer Information In the Matter of Ronald Morse, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for Changed Rep Codes In the Matter of Michael MacLean, Respondent?(FINRA AWC)

FINRA Censures and Fines TD Private Client Wealth LLC for Supervision of Correspondence and Communications In the Matter of TD Private Client Wealth LLC, Respondent (FINRA AWC)

FINRA Censures and Fines Cowen for NMS Reports and Supervision In the Matter of ?Cowen and Company(in its own right and as successor-in-interest to?Cowen Prime Services LLC), Respondent? (FINRA AWC)

FINRA Arbitration Panel Grants Motion for Stipulated Award In the Matter of the Arbitration Between NYLife Securities LLC and New York Life Insurance Company, Claimants, v. James Myers, Respondent (FINRA Arbitration Award)

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