Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW - BrokeAndBroker.com

Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

February 23, 2019

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4445/securities-industry-commentator/

Has your broker or advisor landed on the 'bad guy' list? (CNBC.com Advisor Insight)

Public Customer Alleges That E*Trade's Futures Trading Platform Malfunctioned. In the Matter of the Arbitration Between Michael R Somerby, Claimant, vs. E*Trade Securities LLC, Respondent (FINRA Arbitration Decision)

FINRA Arbitrators Award Over $569,000 In Damages For In And Out Transfers

(BrokeAndBroker.com Blog)

SEC Charges Broker-Dealer and Transfer Agent in Microcap Shell Factory Fraud (SEC Release)

SEC Settles with Biotech Insider Trader (SEC Release)

LPR? As in "Leper?" LPR Indicted for Smuggling More than $1 Million (DOJ Release)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4444/securities-industry-commentator/

"Lazy Lion" Marijuana Business Owners Guilty Of Failing To Pay Over $3,000,000 In Federal Taxes (DOJ Release)

GUEST BLOG: That River of Dreams by Aegis Frumento Esq (BrokeAndBroker.com Blog)

Company Settles Unregistered ICO Charges After Self-Reporting to SEC (SEC Release)

Victims of that other Ponzi scheme -- Stanford -- say they have been short-changed (CNBC.com)

Florida Man Sentenced To One Year In Prison For Insider Trading Scheme Based On Confidential Information Misappropriated From An Investment Bank (DOJ Release)

US Supreme Court Says 14th Amendment Incorporates 8th Amendment's "Excessive Fines Clause" Against States Tyson Timbs, Petitioner, v Indiana

Former Bank Employee Pleads Guilty to Embezzlement (DOJ Release)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4443/securities-industry-commentator/

UC Santa Cruz Student Indicted For Selling Drugs Through Software Application (DOJ Release)

Concurring FINRA Arbitrator Pens Impassioned Rationale For Expungement In the Matter of the Arbitration Between Walter E. Ryan, Claimant, v. Wells Fargo Advisors, LLC, Respondent (FINRA Arbitration Decision )

Outside Business Activities and Away Account Cost Stockbroker $7,500 and Four Months on the Bench (BrokeAndBroker.com Blog)

FINRA AWC Orders $2 Million Restitution For Front- and Back-End Funds Charges. In the Matter of Matthew B. Marietta, Respondent (FINRA AWC)

SEC Proposes to Expand "Test-the-Waters" Modernization Reform to All Issuers (SEC Release)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4442/securities-industry-commentator/

A Form of Corporate Masturbation? Former Rochester CEO Indicted On Multiple Charges For Defrauding His Own Company (DOJ Release)

FINRA Warns of Fraudulent Phishing Emails Targeting Member Firms (FINRA Information Notice)

The Apple of My Ire (BrokeAndBroker.com Blog / UPDATED February 19, 2019)

SEC Files Charges in Elaborate Microcap Stock Fraud (SEC Release)

SEC Charges Cognizant and Two Former Executives With FCPA Violations (SEC Release)

Former President and Former Chief Legal Officer of Publicly Traded Fortune 200 Technology Services Company Indicted in Connection with Alleged Multi-Million Dollar Foreign Bribery Scheme (DOJ Release)

Settlement Concluded with Broker in Case Alleging Public Offering Allocation Fraudulent Practices (SEC Release)

2Cir Vacates Broker Scott Valente's Prison Sentence As Based On Incorrect Criminal History United States of America, Appellee, v. Scott Valente, Defendant/Appellant (Opinion, United States Court of Appeals for the Second Circuit)

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