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

Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

March 30, 2019

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4504/securities-industry-commentator/

UBS Wins Promissory Notes Arbitration After Four Delays And A Doctor's Note

(BrokeAndBroker.com Blog)

Former Chief Operating Officer Of Asset Management Company Arrested For Defrauding The Company And Its Clients (DOJ Release)

New Jersey Man Fraudulently Caused Advisory Firm to Overbill Clients (SEC Release)

Georgia man pleads guilty to hacking apple accounts of professional athletes and musicians (DOJ Release)

SEC Charges College Official for Fraudulently Concealing Financial Troubles From Municipal Bond Investors (SEC Release)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4503/securities-industry-commentator/

Federal Grand Jury Returns Indictment in $300 Million Nationwide Investment Fraud and Ponzi Scheme (DOJ Release)

Virginia Man Pleads Guilty To Defrauding Investors Of $2 Million In Iraqi Dinar Fraud Scheme (DOJ Release)

GUEST BLOG: Bitwise and Fund-Foolish by Aegis Frumento Esq

(BrokeAndBroker.com Blog)

Bozeman woman admits using money management service to defraud court-appointed clients

FINRA Arbitrator Mutually Separates Rep From Former Firm. In the Matter of the Arbitration Between Anthony Michael Gambone, Claimant, v. Pruco Securities, LLC, Respondent (FINRA Arbitraiton Decision)

FINRA Pro Se Arbitration Alleges Outright Ignorance of Claimant's Attempt to Amicably Resolve the Dispute. In the Matter of the Arbitration Between Arthur Lawrence Dinkin, Claimant, v. Broker Dealer Financial Services Corp., Robert Donald Sherwood, Thomas Edward Sherzan, and Lisa Marie Smith, Respondents (FINRA Arbitration Decision)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4502/securities-industry-commentator/

BREAKING STORY: Supreme Court Affirms DC Circuit on Lorenzo v. SEC

(BrokeAndBroker.com Blog)

Judge clears way for broker pay lawsuit against Ameriprise (Financial Planning by Kenneth Corbin)

Sterne Agee Wins Partial Subrogation In FINRA Customer Arbitration (BrokeAndBroker.com Blog)

Staten Island Man Indicted for Defrauding Investors Trading in Virtual Currency / Defendant Solicited Investments on Facebook and Twitter, But Allegedly Stole the Money for Personal Use (DOJ Release)

FINRA Arbitrators Recommend Expungement of Customer Complaints Involving Yacht Used As Collateral. In the Matter of the Arbitration Between Mark Richard Maller, Claimant, v. Banc of America Investment Services, Inc., Respondent (FINRA Arbitration Decision)

SEC Awards $50 Million to Two Whistleblowers (SEC Release)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4501/securities-industry-commentator/

The Melissa Virus / An $80 Million Cyber Crime in 1999 Foreshadowed Modern Threats (FBI Release)

Benjamin Wey and NYG Capital, LLC, Plaintiffs, v. NASDAQ, Inc., the NASDAQ Stock Market LLC, Adena Friedman, Robert Greifeld, Michael Splinter, Nelson Griggs, Edward Knight, Arnold Golub, William Slattery, Michael Emen, Alan Rowland, Keely Moxley, Robert McCooey Jr, and Andrew Hall, Defendants (SDNY Opinion and Order)

Former Vanguard Employee Terminated For "Work Avoidance" Fails To Show At His Expungement Hearing

(BrokeAndBroker.com Blog)

SEC Charges Investment Adviser with Long-Running Fraud and Obtains Consent to Appoint Receiver to Preserve Investor Assets (SEC Release)

In the Matter of Gregory Reyftmann (Initial SEC Decision of Default)

U.S. Attorney Announces The Arrest Of Michael Avenatti For Engaging In A Scheme To Extort A Public Company /Avenatti Is Alleged To Have Used Threats of Economic and Reputational Harm To Demand More Than $20 Million In Payments (DOJ Release)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4500/securities-industry-commentator/

Merrill Lynch to Pay Over $8 Million for Improper Handling of ADRs (SEC Release)

Majority of bitcoin trading is a hoax, new study finds (CNBC.com)

FINRA Settlement Not Fussing And Fighting But Working It Out (BrokeAndBroker.com Blog)

Federal Courts Say NASD Arbitration Claims Too Old Against MetLife. Metropolitan Life Insurance Co., Plaintiff/Appellee, v. John Bucsek, Defendant/Appellant (Opinion, United States District Court for the Second Circuit)

Broker-Dealer's Former Owner, CEO, CFO, and CCO Barred. FINRA Department of Enforcement, Complainant, v. Devin Lamarr Wicker, Respondent ( FINRA Office of Hearing Officers Extended Hearing Panel Decision)

FINRA Arbitrator Recommends Expungement For UBS Error in Annuity Letter In the Matter of the Arbitraton Between Mark Robert Fasano, Claimant, v. UBS Financial Services, Inc., Respondent (FINRA Arbitration Decision)

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