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

Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

March 2, 2019

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4460/securities-industry-commentator/

529 Plan Share Class Initiative - Frequently Asked Questions (FINRA Online Video)

Unregistered commodity pool operator arraigned on fraud charge (DOJ Release)

Stockbroker Only One Call Away From FINRA Fine and Suspension (BrokeAndBroker.com Blog)

Broward County Resident Sentenced to 14 Years in Prison for Leading a $2 Million Dollar Securities Fraud Scheme that Targeted the Elderly (DOJ Release)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4457/securities-industry-commentator/

New York Man Charged with Cryptocurrency Fraud Scheme (DOJ Release)

Places everyone . . . and . . . action! Securities and Exchange Commission v. Daniel Adams, Michael Flanders, Spiderworx Media LLC, and An L.A. Minute LLC, (SEC Release)

Meet the �Montauk Grifter' and his ever-changing disguises (New York Post by Kevin Dugan)

GUEST BLOG: Weird Apple Pickings by Aegis Frumento Esq (BrokeAndBroker.com Blog)

Defendants Charged With Multimillion Dollar Investment Fraud (DOJ Release)

Retrospective Rule Review: FINRA Requests Comment on the Effectiveness and Efficiency of Its

Rule on Business Continuity Plans and Emergency Contact Information (FINRA Regulatory Notice 19-06)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4455/securities-industry-commentator/

SEC Halts South Florida Alternative Investments Scheme Targeting Retail Investors (SEC Release)

FINRA Arbitration Costs National Securities In Promissory Note Case

(BrokeAndBroker.com Blog)

Essex County, New Jersey, Men Sentenced To Prison For Roles In $2 Million Fraudulent Check Scheme Targeting Home-Improvement Stores (DOJ Release)

In United States of America, Appellant, v. AT&T, Inc., et al., Appellees (Opinion, United States Court of Appeals for the District of Columbia Circuit )

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4451/securities-industry-commentator/

BREAKING NEWS: United States Securities and Exchange Commission, Plaintiff, v. Elon Musk, Defendant (SEC Motion and Memorandum of Law/ Order to Show Cause; 18-CV-8865 / February 25, 2019) http://brokeandbroker.com/PDF/MuskSECMotion190225.pdf
Also see Proposed Order

http://brokeandbroker.com/PDF/Musk190225MotContempt.pdf

CFA Institute Settles Discrimination Claims Justice Department Settles Claims Against International Financial Association for Discriminating Against U.S. Workers (DOJ Release)

SEC Charges Former Executive Officers for Their Roles in Corinthian College's Disclosure Failures (SEC Release)

FINRA Regulatory Settlement About Vulnerable Individual Raises Troubling Questions (BrokeAndBroker.com Blog)

FINRA Bars Former JP Morgan Stockbroker In Kiting Scheme

In the Matter of Bradley Curtis Williams, Respondent (FINRA AWC)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4454/securities-industry-commentator/

Email to Bill Singer from

BUREAU INVESTIGATION DIVISION /

Christopher Wray

Charles Schwab Sues Customers Over XIV Debit Balance (BrokeAndBroker.com Blog)

In the Matter of Demitrios Hallas (SEC ALJ Initial Decision of Default)

SEC Announces Settlement in Fraud Case Against Former Investment Adviser (DOJ Release)

Stock Broker Sentenced To Prison For Insider Trading Scheme Based On Confidential Information Misappropriated From An Investment Bank (DOJ Release)

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