The Wall Street Legal & Regulatory Feed
Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW
December 31, 1969
(SEC Orders Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Order)
Long Island Investment Advisor Pleads Guilty In Multi-Million Dollar Securities Fraud and Ponzi Scheme / Defendant Targeted and Defrauded Dozens of Elderly Investors from 2000 to 2018 (DOJ Release)
Fraudster Sentenced to 57 Months in Federal Prison for Scamming Elderly Victims of Almost $400,000 Through Advance Fee Scheme / Falsely Told Victims They Won a Lottery or Sweepstakes, but Needed to Pay Taxes or Fees in Order to Receive the Prize (DOJ Release)
Florida Man Sentenced to 46 Months in Prison for Role in Mail Fraud Scheme That Victimized Seniors (DOJ Release)
SEC Charges Individuals with Defrauding Investors in Connection with an Unregistered Binary Options Business (SEC Release)
FINRA Rule 8210 and FINRA Rule 9552 Analysis by Bill Singer Esq (BrokeAndBroker.com Blog)
Former Director of Healthcare Services Company Charged in Alleged $300 Million Investment Fraud Scheme / The Defendant And His Co-Conspirators Allegedly Inflated Company's Value and Revenue to Defraud Investors (DOJ Release)
SEC Halts Alleged Insider Trading Ring Spanning Three Countries (SEC Release)
Fourth Defendant Arrested in Credit Card ‘Bust-Out' Scheme that Spent $2 Million on Luxury Watches, Liquor, Cars and Cemetery Plots (DOJ Release)
SEC Charges Agria Corporation and Executive Chairman With Fraud (SEC Release)
Realtor sentenced for stealing millions from clients (DOJ Release)
In the Matter of the FINRA Arbitration Between Raymond, James & Associates, Inc., Claimant, vs. Stephen A. Murray, Respondent (FINRA Arbitration)