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10月20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/7173/securities-industry-commentator/

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UPDATE: Scrambling to Keep Pace With The Unbearable Load of SEC Rulemaking (BrokeAndBroker.com Blog)

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Financial Professionals Coalition, Ltd. JOIN TODAY -- FREE MEMBERSHIP / Visit the MARKETPLACE for industry services by lawyers, recruiters, and consultants

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Alliance for Fair Board Recruitment; National Center for Public Policy Research, Petitioners, v. Securities and Exchange Commission, Respondent. (Opinion, United States Court of Appeals for the Fifth Circuit, No. 21-60626)

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Interactive Brokers LLC, Plaintiff, v. Jack Delaporte, Dillon Springer, Helena Yost, Jason Merritt, Jeffrey Rosenthal, Lisa Rosenthal, Brett Leve, David Simkins, Individually and as Trustee of the David Simkins Grantor Trust and the Leon Simkins Non-Exempt Trust FBO David Simkins, Bruce Clay, Matthew Clay, Michelle Simkins Rubell, Individually and as Trustee of the Michelle Simkins Rubell Grantor Trust, Taylor Simkins, Dramm, Inc., and Jody Levy, Defendants (Memorandum And Order, United States District Court For The Southern District Of New York, No. 23 Civ. 5555 (NRB))

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Attorney General James Sues Cryptocurrency Companies Gemini, Genesis, and DCG for Defrauding Investors / Sweeping Lawsuit Details How Genesis and DCG Concealed $1.1 Billion in Losses and Alleges Gemini Repeatedly Lied to Investors / AG James Seeks Restitution for Hundreds of Thousands of Investors Who Lost More Than $1 Billion (NYAG Release)

DOJ

Friend Of Pfizer Employee Pleads Guilty To Insider Trading Based On Non-Public Drug Trial Results For COVID-19 Treatment (DOJ Release)

New Jersey Real Estate Investor and Online Influencer Charged with Multimillion-Dollar Investment Fraud Scheme (DOJ Release)

Silicon Valley Executive Sentenced for Defrauding Investors and Participating in COVID-19 and Allergy Testing Scheme / First Criminal Securities Fraud Case Related to COVID-19 Pandemic Charged by Justice Department and First Criminal COVID-19 Health Care Fraud Case Brought to Trial (DOJ Release)

Suburban Chicago Man Charged With Insider Trading (DOJ Release) Miami man sentenced to five and a half years in prison for running fraudulent cryptocurrency and stock investment scheme (DOJ Release)

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SEC

Statement on Exchanges’ Volume-Based Rebates and Fees by SEC Chair Gary Gensler

ADDITIONAL SEC COMMISSIONERS' STATEMENTS ON VOLUME-BASED TRANSACTION PROPOSAL

SEC Obtains Judgment Against Issuer and CEO for Unregistered Crypto Asset Securities Offering (SEC Release)

SEC Charges Illinois Resident with Insider Trading (SEC Release)

SEC Obtains Emergency Relief To Halt Nearly $130 Million Fraud Targeting Indian American Community (SEC Release)

SEC Division of Examinations Announces 2024 Priorities (SEC Release)

CFTC

FINRA

FINRA Fines and Suspends Rep for Mismarking Order Tickets as Unsolicited In the Matter of Richard Leininger, Respondent (FINRA AWC)

FINRA Censures and Fines BGC Financial Spoofing/Layering Supervision In the Matter of BGC Financial, L.P., Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for Inaccurate Order Memoranda In the Matter of Nicholas Blake Williams, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for Unapproved Text Messaging In the Matter of Kenneth John Arellano, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for Emails to Investors In the Matter of Todd M. Mezrah, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for Electronic Signatures In the Matter of Lee Michael Generous, Respondent (FINRA AWC)

Avoid Fraud / Pretexting: Fact or Fiction? (FINRA)

Cybersecurity Alert - Ongoing Phishing Campaign (FINRA Guidance)

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