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7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/7185/securities-industry-commentator/

Federal Court Confirms Multi-Million Dollar FINRA Arbitration Award for Charles Schwab Against Morgan Stanley (BrokeAndBroker.com Blog)

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

DOJ

California Man Sentenced To 102 Months In Prison For Multimillion-Dollar Stolen Identity Scheme (DOJ Release)

Former Assistant Branch Manager at Tulare Credit Union Pleads Guilty for Stealing over $60,000 from Members’ Accounts to Spend on TikTok (DOJ Release)

SEC

In the Matter of the Application of Alpine Securities Corporation for Review of Action Taken by the National Securities Corporation (SEC Opinion)

In the Matter of the Application of Alpine Securities Corporation for Review of Action Taken by the National Securities Corporation (SEC Order)

Remarks to SEC Regulation Outside the United States: Fifth Annual Scott Friestad Memorial Lecture by SEC Commissioner Mark T. Uyeda

CFTC

Federal Court Orders Former New York City Resident to Pay Over $2.6 Million in Monetary Sanctions for Fraudulent Solicitation and Misappropriation in a Commodity Pool Scheme (CFTC Release)

FINRA

FINRA Censures Three Rep/One Branch Firm That Chaperoned Trades Without a Clearing Firm In the Matter of Decker & Co, LLC, Respondent (FINRA AWC)

FINRA Censures Robert W. Baird & Co., Inc. for Excess Mutual Fund Charges In the Matter of Robert W. Baird & Co., Inc., Respondent (FINRA AWC)

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