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Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW
December 29, 2018
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4354/securities-industry-commentator/
William E.Gustashaw and Nancy D. Gustashaw, Petitioners, v. Commissioner of Internal Revenue (US Tax Court Memorandum Finding,
)
In the Matter of the Arbitration Between Bruce L. Sanft Revocable Trust Bruce L. Sanft IRA, Claimant, v. UBS Financial Services Inc,, Respondents (FINRA Arbitration
)
Morgan Stanley and Wells Fargo Tackled for Big Loss in $7.7 million FINRA Arbitration (BrokeAndBroker.com Blog)
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4353/securities-industry-commentator/
In the Matter of Morgan Stanley Smith Barney LLC, Respondent (FINRA AWC)
In the Matter of Edward M. Daspin, a/k/a "Edward (Ed) Michael", Luigi Agostini, and Lawrence R. Lux (SEC Order)
SEC Files Subpoena Enforcement in Possible Market Manipulation Scheme (SEC Release)
Federal Court Considers SEC Subpoena of Outside Consultant Records (BrokeAndBroker.com Blog)
In the Matter of Nutriband, Inc.,Gareth Sheridan and Serguei Melnik, Respondent (SEC Order
)
In the Matter of Warren D. Nadel, Respondent (SEC Order)
In the Matter of the Arbitration Between Guillermo Javier Machuca, Claimant, v. UBS Financial Services Inc, and UBS Financial Services Inc. of Puerto Rico, Respondents (FINRA Arbitration Decision)
In the Matter of the Arbitration Between John C. Shull, Claimant, v. E*Trade Securities LLC, Respondents (FINRA Arbitration Decision)
In the Matter of the Arbitration Between John W. Kettmann, Claimant, v. Morgan Stanley DW Inc., Respondent (FINRA Arbitration )
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4352/securities-industry-commentator/
Report from FINRA Board of Governors Meeting -- December 2018 / Board Approves Rule Proposals, Reviews 2019 Budget and Appoints New Public Governor (FINRA Release)
Scottsdale Sues Rep For Contacting FINRA But FINRA Bars Him For Not Testifying Against Firm (BrokeAndBroker.com Blog)
In the Matter of the FINRA Arbitration Between Sally Ann Reagan, Claimant, vs. Ganesh Ramachandran Iyer a/k/ "Gary Iyer" and Morgan Stanley, Respondents (FINRA Arbitration
)
In the Matter of the FINRA Arbitration Between Windsor Street Capital, LP, Claimant, vs. Mackey McFarlane Alligood and Scott David Werling, Respondents (FINRA Arbitration
)
In the Matter of J.P. Morgan Securities LLC, Respondent (FINRA AWC )
In the Matter of Seth Andrew Nannini, Respondent (FINRA AWC
)
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4351/securities-industry-commentator/
GUEST BLOG: This Christmastide by Aegis Frumento Esq (BrokeAndBroker.com Blog)
In the Matter of Wealthfront Advisers, LLC, f/k/a Wealthfront, Inc., Respondent.(SEC Order
)
SEC Settles Charges with Previously Barred Buffalo, N.Y. Adviser (SEC Release)
SEC Charges a Taiwan-Based Insurance Company and a Former Insider with Fraudulent Market Manipulation Scheme (SEC Release)
United States of America, Plaintiff-Appellee, v. Gregory J. Kuczora, Defendant-Appellant (Opinion 7Cir.
)
Report on Selected Cybersecurity Practices 2018 (FINRA)
Kathryn L. Honea v. Raymond James Financial Services, Inc. and Bernard Michaud
-and-
Raymond James Financial Services, Inc. and Bernard Michaud v. Kathryn L. Honea (Opinion, Supreme Court of Alabama)
Maybe it's the looming government shutdown? Maybe it's the looming Christmas and New Year holidays? Whatever it may be, the SEC just dumped a load of new Administrative Proceeding and it's too much to synopsize, so, if the spirit moves you, have at it:
Barbara Duka https://www.sec.gov/litigation/admin/2018/33-10599.pdf
Natural Blue Resources, Inc., James E. Cohen and Joseph A. Corazzi
https://www.sec.gov/litigation/admin/2018/33-10598.pdf
Tod A. Ditommaso, Esq. https://www.sec.gov/litigation/admin/2018/33-10597.pdf
Michael W. Crow https://www.sec.gov/litigation/admin/2018/33-10596.pdf
Frank H. Chiappone, et al. https://www.sec.gov/litigation/admin/2018/33-10595.pdf
BioElectronics, Corp., et al. https://www.sec.gov/litigation/admin/2018/33-10594.pdf
Paul Edward "Ed" Lloyd, Jr. https://www.sec.gov/litigation/admin/2018/ia-5089.pdf
Black Diamond Asset Management LLC and Robert Wilson
https://www.sec.gov/litigation/admin/2018/ia-5088.pdf
Timbervest, LLC https://www.sec.gov/litigation/admin/2018/ia-5093.pdf
Patric Ken Baccam a/k/a Khanh Sengpraseuth
https://www.sec.gov/litigation/admin/2018/34-84922.pdf
Mohammed Riad and Kevin Timothy Swanson
https://www.sec.gov/litigation/admin/2018/34-84919.pdf
James P. Griffin https://www.sec.gov/litigation/admin/2018/34-84915.pdf
Darren M. Bennett, CPA https://www.sec.gov/litigation/admin/2018/34-84912.pdf
John J. Aesoph, CPA and Darren M. Bennett, CPA
https://www.sec.gov/litigation/admin/2018/34-84911.pdf
Thoroughbred Financial Services, LLC, Thomas Jenkins Parker, and Lawrence Randall "Randy" Hartley
https://www.sec.gov/litigation/admin/2018/34-84918.pdf
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Bill Singer
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