The Wall Street Legal & Regulatory Feed
Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW
December 8, 2018
SEC Rulemaking Over the Past Year, the Road Ahead and Challenges Posed by Brexit, LIBOR Transition and Cybersecurity Risks (Speech by SEC Chair Jay Clayton)
Justice Department Settles Immigration-Related Discrimination Claim Against Utah Cookie Retailer (DOJ Release)
The Complaining Customer Is Dead, The File Is Lost, But A Stockbroker Battles On for Expungement (BrokeAndBroker.com Blog)
SEC Charges Technology Fund Adviser, Founder in Fraudulent Scheme (SEC Release)
CEO Of Miami Investment Management Firm Charged In Manhattan Federal Court With Fraud (DOJ Release)
Court Enters Final Judgments in EB-5 Scheme, Ordering Return of $25.8 Million to Defrauded Chinese Investors (SEC Release)
SEC Halts Alleged Insider Trading Ring Spanning Three Countries (SEC Release)
SEC Voluntary Dismisses All Claims Against Jesse Litvak (SEC Release)\
Moldovan Sentenced for Distributing Multifunction Malware Package (DOJ Release)
Chicago Woman Sentenced to Nearly 4 Years for Multi-Million Dollar Fraud Involving Bogus Event Ticket Business (DOJ Release)