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

Securities Industry Commentator: A legal, regulatory, and compliance feed?

curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/7174/securities-industry-commentator/

Divorced Customer Sues Morgan Stanley Over Bond Purchases (BrokeAndBroker.com Blog)

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Former Rep Sues for Compensation After Involuntary Termination (BrokeAndBroker.com Blog)

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Ummm . . . what??? Raymond James Financial Services, Inc., Petitioner, v. Mark Joseph Boucher, Respondent (Order Denying Petitioner's Petition to Confirm Arbiration [sic] Award; Denying ?Application for Default Judgement Against Respondent, United States District Court for the Southern District of California, 22-CV-01658 / October 20, 2023)

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DOJ

SEC

SEC Charges BlackRock with Failing to Properly Disclose Investments by Publicly Traded Fund it Advised (SEC Release)

Remarks at New York City Bar Association Compliance Institute by SEC Division of Enforcement Director Gurbir Grewal?

CFTC

CFTC Orders Minnesota Grain Merchandiser to Pay $3 Million Penalty for Attempted Manipulation of Oats Futures Prices (CFTC Release

FINRA

FINRA Censures and Fines Electronic Transaction Clearing for Registration Failures In the Matter of Electronic Transaction Clearing, Inc, Respondent (FINRA AWC)

FINRA Arbitration Panel Awards Apex Clearing Corporation Damages for Breach of Clearing Agreement In the Matter of the Arbitration Between Qwikt Global Securities LLC, Claimant/Counter-Respondent, v. Apex Clearing Corporation, Respondent/Counter-Claimant (FINRA Arbitration Award)

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