Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

September 29, 2018

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

http://www.rrbdlaw.com/4208/securities-industry-commentator/

BREAKING NEWS: United States Securities and Exchange Commission, Plaintiff, v. Elon Musk, Defendant (Complaint, 18-CV-8865; United States District Court for the Southern District of New York)

Petrobras Reaches Settlement With SEC for Misleading Investors (SEC Release 2018-215)

Double Standard? FINRA Fines And Suspends Wells Fargo Employee For 382 Unauthorized Trades (BrokeAndBroker.com Blog)

SEC Charges Bitcoin-Funded Securities Dealer and CEO (SEC Release 2018-218)

CFTC Charges Trading Platform with Illegal Transactions Margined in Bitcoin, Failing to Implement Procedures to Prevent Money-Laundering, and Failing to Register with the CFTC (CFTC Release 7809-18)

Online Marketers Charged With Conning Main Street Investors Through Rags-to-Riches Infomercials / SEC Issues Video Warning to Investors (SEC Release 2018-216)

SEC Obtains Permanent Injunction Against CEO in Penny Stock Fraud Scheme (SEC Litigation Release No. 24290)

Former Financial Officer of Non-Profit Charged with Embezzling over $1.3 Million (DOJ Release)

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

http://www.rrbdlaw.com/4207/securities-industry-commentator/

Johnny E. Burris, Plaintiff, v. J.P. Morgan Chase & Co., and J.P. Morgan Securities, LLC (Complaint; 18-CV-03012)

Guest Blog: All You Need Is A TCR and a Dream by Aegis J. Frumento Esq (BrokeAndBroker.com Blog)

BREAKING NEWS!!! Before Witnesses Clam Up, Feds Scale New Depths And Avoid Tanking Seafood Criminal Cases As Charges Are Taken Off Ice Against Big Fish and Small Fry

Seafood Processor Pleads Guilty to Selling Foreign Crab Meat Falsely Labeled as Blue Crab From USA (DOJ Release)

Long Island Companies and Owners Charged With Falsely Labeling Squid as Octopus (DOJ Release)

CFTC Charges Brooklyn Resident Yehuda L. Belsky with Binary Options Fraud, Violating a Prior CFTC Order and Making False Statements to the CFTC / CFTC also Charges Belsky with Acting as an Unregistered Commodity Trading Advisor (CFTC Release 7802-18)

Brooklyn Man, Banned For Life from Commodities Trading, Indicted for Defrauding Investors / Defendant Promised to Invest in Binary Options, but Instead Stole Customers' Money for His Personal Use and to Repay Others He Had Duped into Investing with Him (DOJ Press Release)

CFTC Orders an Iowa Introducing Broker and Its Principals to Pay $11.9 Million in Restitution to Farmers and a $1.25 Million Civil Monetary Penalty for Fraud, Unauthorized Trading, and False Statements to the CME, Among Other Violations / Farmers in Iowa, Maryland, Minnesota, Nebraska, and South Dakota Harmed (CFTC Release 7803-18)

SEC Charges Founders of a Real Estate Crowdfunding Portal with Fraud (SEC Litigation Release No. 24288)

SEC Charges Firm With Deficient Cybersecurity Procedures (SEC Release 2018-213)

CFTC Charges Two Commodity Traders with Attempted Manipulation of Agricultural Markets (CFTC Release 7804-18)

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

http://www.rrbdlaw.com/4206/securities-industry-commentator/

SEC Charges Ohio Broker with Defrauding Senior Customers (SEC Release No. 24287)

Stockbroker Pays Undisclosed Customer Settlement But It All Explodes Anyway

(BrokeAndBroker.com Blog)

Former Chief Financial Officer of Bankrate Inc. Sentenced To 10 Years in Prison for Orchestrating a Complex Accounting and Securities Fraud Scheme (DOJ Release)

SG Americas Securities Charged for Improper Handling of ADRs (SEC Release 2018-211)

SEC's plan to open up private markets will let loose the wolves on regular investors (CNBC.com )

SEC Charges Former CEO of Chilean-Based Chemical and Mining Company With FCPA Violations (SEC Release 2018-212)

Fairfield County Cardiologist Sentenced to Prison for Insider Trading (DOJ Release)

New York Man Sentenced to 46 Months in Prison For Role in Identity Theft and Bank Fraud Scheme / Defendant Traveled Across the Country to Carry Out the Scam (DOJ Release)

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

http://www.rrbdlaw.com/4205/securities-industry-commentator/

SEC Charges Additional Trader with Giving Cash Kickbacks to Broker for IPO Access (SEC Litigation Release No. 24286)

Colorado Supreme Court Reverses Court of Appeals Over Ponzi "Clawback"

C. Randel Lewis, solely in his capacity as receiver, Petitioner, v. Steve Taylor, Respondent (Colorado Supreme Court, 2018 CO 76, No. 17SC241)

11th Circuit Rejects Mandatory FINRA Arbitration By Customers (BrokeAndBroker.com Blog)

In the Matter of TD Ameritrade, Inc. Respondent (Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Sanctions;'34 Release No. 84269; Admin. Proc. File No. 3-18829)

My Beef with Stakeholders: Remarks at the 17th Annual SEC Conference, Center for Corporate Reporting and Governance (Speech by SEC Commissioner Hester M. Peirce)

Former CFO Pleads Guilty in Multi-Million Dollar Embezzlement and Laundering Scheme (DOJ Release)

SEC Awards Almost $4 Million to Overseas Whistleblower (SEC Release 2018-209)

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

http://www.rrbdlaw.com/4204/securities-industry-commentator/

SEC Obtains Final Judgment Against Investor Relations Writer Charged with Fraudulent Stock Promotion Scheme

(SEC Litigation Release No. 24280)

SEC Obtains Consent Judgment Against Investment Advisor and Principal (SEC Litigation Release No. 24285)

SEC Charges Unregistered Sales of Securities Issued Under EB-5 Immigrant Investor Program (SEC Release 2018-208)

Public Customer, Brokers, And Brokerage Firm Spit Nails, Eat Lightning, And Crap Thunder (BrokeAndBroker.com Blog)

SEC Settles Action Against Defendants in Connection with Stock Fraud Scheme

(SEC Litigation Release No. 24283)

SEC Obtains Final Judgment Against Relief Defendant Wealthcfo, LLC (SEC Litigation Release No. 24284)

Business Services Company and Former CFO Charged with Accounting Fraud (SEC Litigation Release No. 24282)

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Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

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