The Wall Street Legal & Regulatory Feed
Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW
October 6, 2018
U.S. Charges Russian GRU Officers with International Hacking and Related Influence and Disinformation Operations / Conspirators Included a Russian Intelligence "Close Access" Hacking Team that Traveled Abroad to Compromise Computer Networks Used by Anti-Doping and Sporting Officials and Organizations Investigating Russia's Use of Chemical Weapons (DOJ Release)
Musk Trolls the SEC (CNBC.com video)
Elon Musk
I do NOT post the CNBC video below out of agreement or disagreement with Musk's exercise of free speech or with his opinion about the SEC or with the substance of his comment. I posted the segment because it presents a very fair and balanced analysis of the pros and cons (of the wisdom) of C-suite execs using social media to publicize their opinions. My one thought is that this entire incident is a very strong argument in favor of keeping a company private or not going public
The Stockbroker, His Wife, 3 Customers, 3 Healthcare Proxies, 1 Trust, And 1 IRA (BrokeAndBroker.com Blog)
In the Matter of Department of Enforcement, Complainant, vs. Stanley Clayton Niekras, Respondent (Decision, FINRA National Adjudicatory Council, Complaint No. 2013037401001)
Operator of Precious Metals Brokerage in New York Found Guilty of Tax Evasion / Defendant Used Shell Corporations to Conceal Income (DOJ Release)
Former Auditor Sentenced For Submitting Fraudulently Backdated Documents To The Securities And Exchange Commission (DOJ Release)
In the Matter of Patrick Lanier, Respondent. (SEC Order of Forthwith Suspension; '34 Act Release No. 84342; Admin. Proc. File No. 3-18861)
Treyton Thomas Pleads Guilty to Multi-Million Dollar Investment Fraud Scheme and Income Tax Evasion (DOJ Release)
Seven Charged in Telemarketing Sweepstakes Scheme that Victimized People in the United States, Including the Elderly (DOJ Release)