Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW - BrokeAndBroker.com

Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

September 15, 2018

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer

http://www.rrbdlaw.com/4185/securities-industry-commentator/

In today's Securities Industry Commentator feed:

BREAKING NEWS: FULL TEXT Manafort Plea / FULL TEXT Documents

Broker-Dealer to Pay $2.75 Million Penalty for Providing Deficient Blue Sheet Data (SEC Release)

Deutsche Bank Securities Hit With $2 Million Award In FINRA Expungement Case (BrokeAndBroker.com Blog)

Statement Regarding SEC Staff Views (SEC Chairman Jay Clayton)

Remarks to the SEC Investor Advisory Committee by Chairman Jay Clayton

Statement Regarding Staff Proxy Advisory Letters by Division of Investment Managenment [sic]

Four Defendants Sentenced Following Convictions At Trial For Stealing Confidential Government Information And Using It To Engage In Illegal Trading (DOJ Release)

In the Matter of Brett Thomas Graham (SEC Order Denying Request To Modify Settlement Order; '34 Release No. 84106 Invest. Adv. Act Release No. 5005; Invest. Co. Act Release No. 33225; Admin. Proc. File No. 3-16389)

Roger Dale Williams Sentenced To 63 Months in Prison for Phony Investment Scheme (DOJ Release)

Nigerian National Sentenced to 32 Months in Prison for Phishing Scheme That Victimized School Employees (DOJ Release)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer

http://www.rrbdlaw.com/4179/securities-industry-commentator/

In today's Securities Industry Commentator feed:

SEC Charges Hedge Fund Adviser With Short-and-Distort Scheme (SEC Release 2018-190)

New Jersey Broker Charged in "Cherry-Picking" Scheme (DOJ Release)

SEC Uses Data Analysis to Detect Cherry-Picking By Broker (SEC Release 2018-189)

In re: Pending Administrative Proceedings (SEC Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC; Admin. Proc. Rul. Rel. No. 5955; Admin. Proc. File Nos. 3-15006 et al)

United Technologies Charged With Violating FCPA (SEC Release 2018-188)

GUEST BLOG:How the SEC Would Run (and Ruin) Your Firm by Aegis Frumento Esq (BrokeAndBroker.com Blog)

SEC Charges Three in Crude Oil Processing Scheme (SEC Litigation Release No. 24266)

OTC Equity Trading: FINRA Reminds Firms of Their Obligations When Effecting OTC Trades in Equity Securities on a Net Basis (FINRA Notice to Members 18-29)

Latvian National Sentenced to Prison for "Scareware" Hacking Scheme That Targeted Minneapolis Star Tribune Website (DOJ Release)

Russian National Who Operated Kelihos Botnet Pleads Guilty to Fraud, Conspiracy, Computer Crime and Identity Theft Offenses (DOJ Release)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer

http://www.rrbdlaw.com/4183/securities-industry-commentator/

In today's Securities Industry Commentator feed:

CEO of "Penny Stock" Company Sentenced for Stock Manipulation Scheme (DOJ Release)

SEC Charges ICO Superstore and Owners With Operating As Unregistered Broker-Dealers (SEC Release 2018-185)

SEC Charges Digital Asset Hedge Fund Manager With Misrepresentations and Registration Failures (SEC Release 2018-186)

SEC Obtains Relief to Fully Reimburse Retail Investors Sold Unsuitable Product (SEC Release

2018-184)

RBC Stockbroker Wins Expungement Of ARS Complaints (BrokeAndBroker.com Blog)

Romanian National Pleads Guilty in Multi-State ATM Card Skimming Scheme / Caused over $868,000 in Losses from over 530 Individual Accounts in Three States (DOJ Release)

Nigerian Man Sentenced To 5 Years In Prison For Participating In Business Email Compromise Scams (DOJ Release)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer

http://www.rrbdlaw.com/4181/securities-industry-commentator/

In today's Securities Industry Commentator feed:

SEC Charges Two Brokers With Defrauding Customers (SEC Release 2018-183)

Fort Lauderdale Broker Pleads Guilty for Involvement in $16 Million Precious Metals and Securities (DOJ Release)

The Daily Double at the SEC. Place Your Bets. Hands off the Table:

SEC Charges Internet Sports Betting Fund with Registration Violations (SEC Litigation Release No. 24263)

SEC Charges Internet Sports Betting Fund with Registration Violations (SEC Litigation Release No. 24264)

Canadian Man Sentenced to over 11 Years in Federal Prison for Running Telemarketing Scheme that Bilked 60,000+ Victims (DOJ Release)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer

http://www.rrbdlaw.com/4177/securities-industry-commentator/

In today's Securities Industry Commentator feed:

SEC Charges Microcap Fraudsters for Roles in Lucrative Market Manipulation Schemes (SEC Release 2018-182)

Attorney in SEC Enforcement Action Indicted for Penny Stock Fraud (SEC Litigation Release No. 24261)

Manhattan U.S. Attorney Announces Extradition Of Alleged Russian Hacker Responsible For Massive Network Intrusions At U.S. Financial Institutions, Brokerage Firms, A Major News Publication, And Other Companies (DOJ Release)

Florida Man Pleads Guilty To $2 Million Insider Trading Scheme Involving Confidential Information Misappropriated From An Investment Bank (DOJ Release)

Stockbroker An Unintended Bystander Victim In Drive-By Customer Complaint (BrokeAndBroker.com Blog)

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