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

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28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/7161/securities-industry-commentator/

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Wall Street Regulators Provide Express Check-Out Line for Goldman Sachs (BrokeAndBroker.com Blog)

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FTC Sues Amazon for Illegally Maintaining Monopoly Power / Amazon’s ongoing pattern of illegal conduct blocks competition, allowing it to wield monopoly power to inflate prices, degrade quality, and stifle innovation for consumers and businesses (FTC Release)

DOJ

Local man charged with orchestrating investment fraud scheme (DOJ Release)

Co-Founder Of Global Multimillion-Dollar Cryptocurrency Ponzi Scheme “AirBit Club” Sentenced To 12 Years In Prison (DOJ Release)

SEC

Testimony Before the United States House of Representatives Committee on Financial Services by SEC Chair Gary Gensler

SEC Charges Private Real Estate Funds’ Managers and Investment Adviser for Fraudulent and Unregistered Securities Offering (SEC Release)

SEC Charges Los Angeles Man and His Related Entities with Ponzi-Like Scheme (SEC Release)

SEC Charges Three Southern California Siblings with Insider Trading (SEC Release)

SEC Settles Actions Against Executives of Two Reg A Issuers for Involvement in Scheme To Fraudulently Promote Securities Offerings (SEC Release)

SEC Charges Corporate Insiders for Failing to Timely Report Transactions and Holdings / Several issuers charged as well in connection with their insiders’ reporting failures (SEC Release)

SEC Charges Hydrogen Vehicle Co. Hyzon Motors and Two Former Executives for Misleading Investors (SEC Release)

SEC Charges California Advisory Firm AssetMark for Failing to Disclose Multiple Financial Conflicts (SEC Release)

SEC Institutes Administrative Proceedings Against Unregistered Brokers Conducting a Fraudulent and Unregistered Offering of Crypto Asset Securities (SEC Release)

SEC Charges Dallas Area Cybersecurity Company with Fraud (SEC Release)

SEC Charges Advisory Firm Bruderman Asset Management and its Principal for Failing to Disclose Misuse of Investment Funds (SEC Release)

SEC Charges Five Defendants in Penny Stock Fraud Scheme (SEC Release)

SEC Charges Florida Company and its Principal with Operating a Fraudulent Securities Offering Involving Natural Fancy Color Diamonds (SEC Release)

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SEC Charges Cash Flow King Podcast Host with Perpetrating $11 Million Ponzi Scheme (SEC Release)

SEC Charges Municipal Advisor and Its Principal with Breach of Duty of Care (SEC Release)

SEC Sues Texas-based Oil-and-Gas Promoter for Multi-Million Dollar Fraud (SEC Release)

SEC Charges Two Utah Fund Managers and Their Principals with Securities Fraud (SEC Release)

SEC Charges Investment Adviser and His Investment Advisory Firm with Multi-Year Cherry Picking Fraud (SEC Release)

SEC Charges Adviser and Its CEO with Making Material Misrepresentations in Form ADV Filings (SEC Release)

SEC Charges GTT Communications for Disclosure Failures / Declines to impose civil penalty because of company’s prompt self-report, extensive remediation, and substantial cooperation (SEC Release)

Deutsche Bank Subsidiary DWS to Pay $25 Million for Anti-Money Laundering Violations and Misstatements Regarding ESG Investments (SEC Release)

SEC Charges Connecticut Resident with Fraudulent Statements in Press Releases (SEC Release)

SEC Charges Wellesley Asset Management, Inc. for Material Misstatements and Omissions in Marketing Materials Concerning Index Performance (SEC Release)

SEC Suspends New York Public Accountant for Improper Professional Conduct (SEC Release)

SEC Suspends Georgia Accountant for Improper Professional Conduct (SEC Release)

CFTC

Miami Federal Court Enters Preliminary Injunction Order Against Certified Public Accountant in Connection with $58 Million Foreign Currency Fraud and Misappropriation Scheme (CFTC Release)

CFTC Charges Mosaic Exchange Limited and Sean Michael with a Fraudulent Solicitation and Digital Asset Commodities Trading Scheme (CFTC Release)

CFTC Awards Whistleblower More Than $300,000 (CFTC Release)?

Federal Court Orders Chinese National to Pay More than $350,000 for Fraudulent Scheme to Trade Against Employer (CFTC Release)

CFTC Charges Florida Man with Forex and Binary Options Fraud and Misappropriation (CFTC Release)

CFTC Charges Dallas and Los Angeles Area Precious Metals Dealers in Ongoing Fraud Scheme Garnering Over $7 Million from Retirement Accounts / Court Issues Restraining Order to Protect Assets and Documents (CFTC Release)

FINRA

FINRA Bars and Fines Rep Over $7.86 Million in Unsuitable REITs Recommendations

FINRA Censures and Fines ?Citigroup Global Markets Inc. for Over Tendering Shares and Supervisory System In the Matter of Citigroup Global Markets Inc., Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for Outside Business Activity In the Matter of Adam Bruce Anderson, Respondent (FINRA AWC)?

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