Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

June 15, 2019

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4636/securities-industry-commentator/

BB&T and SunTrust Come Up With Half-Assed Name for Merged Companies: "Truist"

Let's stop the argument that financial education doesn't work (CNBC.com by Billy J. Hensley, President and CEO of the National Endowment for Financial Education)

UBS Stockbroker Seeks Expungement of ARS Claim That Firm Says Wasn't Made

(BrokeAndBroker.com Blog)

Arbitrators Grant Expungement In PIPEs Dispute. In the Matter of the Arbitration Between Robert Ray Craig, Claimant, v. J.P. Morgan Securities, LLC, Respondent (FINRA Arbitration Decision)

Gone Phishing: Creator of Website That Stole ATM Card Numbers Sentenced (FBI.gov)

SEC Charges Swiss Resident in Insider Trading Case Involving Bioverativ Acquisition (SEC Release)

Former Chief Executive of Suburban Nutrition Company Pleads Guilty in Market Manipulation (DOJ Release)

Exchanging Views on Exchange-Traded Funds by SEC Commissioner Hester Peirce (Remarks at FSB/IOSCO Joint Workshop on ETFs and Market Liquidity)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4635securities-industry-commentator/

Seniors were sold a risk-free retirement with reverse mortgages. Now they face foreclosure.

(USA Today)

GUEST BLOG: Hero Takes a Fall by Aegis Frumento Esq (BrokeAndBroker.com Blog)

Sham Investment Advisor Sentenced to 10 Years in Prison / Rick Guyon Defrauded Investors of $1.9 Million (DOJ Release)

Ex-Financial Advisor with History of Professional Misconduct Arrested on Fraud Charges Alleging $14.5 Million Real Estate Scheme (DOJ Release)

Cambria County Investment Advisor Sentenced to 6+ Years in Prison for $4.5M Fraud Scheme (DOJ Release)

Long Island Attorney Pleads Guilty to Conspiracy to Obstruct Federal Proceeding / Defendant Schemed to Help Co-conspirator Avoid Paying Millions of Dollars in Court-Ordered Restitution (DOJ Release)

Union County, New Jersey, Man Sentenced To 25 Months In Prison In Scheme To Manipulate Microcap Stock By Touting A �Wellness Social Community For People And Their Pets' (DOJ Release)

In the Matter of Christopher M. Gibson (SEC Order)

FINRA Suspends Spencer Edwards Inc Ability to Accept Certificates and Liquidate Shares. In the Matter of Spencer Edwards, Inc., Respondent (FINRA AWC)

Talking About Meaningless Gestures (Part II). In the Matter of Donna Flemming, Respondent (FINRA AWC)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4634/securities-industry-commentator/

Assistant Attorney General Makan Delrahim Delivers Remarks for the Antitrust New Frontiers Conference (DOJ Release)

FINRA Fines Crypto Miner. In the Matter of Kyung Soo Kim, Respondent (FINRA AWC)

Comerica Securities Tells Suing Customers It Ain't Me, Babe (BrokeAndBroker.com Blog)

Florida Man Sentenced To Federal Prison In $28 Million Ponzi Scheme / Investors Duped by Claim that Company Owned Solar Farms in North Carolina (DOJ Release)

SEC Obtains Final Judgments Against Companies Operating a Pyramid Scheme and Their Promoter (SEC Release)

SEC Obtains Judgments Against Insider Trading Ring Defendants (SEC Release)

SEC Obtains Final Judgment Against Cape Cod-Based Investment Adviser Charged with Fraud (SEC Release)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4633/securities-industry-commentator/

Famous New York City restaurateur says restaurant industry can't fill jobs (Fox Business News)

Operator of Long Island Business Pleads Guilty to Defrauding Investors in Distribution of Wine Product Featured on "Shark Tank" TV Show (DOJ Release)

FINRA Arbitrator Denies Expungement For Legally Meritless Customer Complaints

(BrokeAndBroker.com Blog)

"Tech Support" Telemarketing Scheme Leader Sentenced (DOJ Release)

Syracuse Man Pleads Guilty to Sophisticated Investment Fraud Schemes / While on Federal Probation, Donald Geiss, Jr. Created False Identities to Defraud Investors (DOJ Release)

SEC Updates List of Firms Using Inaccurate Information to Solicit Investors (SEC Release)

Connecticut Broker and Investment Adviser Convicted On 21 Counts of Fraud and Money Laundering (SEC Release)

SEC Seeks Emergency Relief to Halt Ponzi Scheme Run from College Fraternity House (SEC Release)

Former Investment Bank Employee Sentenced For Insider Trading Scheme (DOJ Release)

British Man Found Guilty Of Participating In Fraudulent Investment Scheme Related To Co-Working Business (DOJ Release)

FINRA Fines Firm for Undisclosed Job Offer by Issuer. In the Matter of Robert W. Baird & Co. Incorporated, Respondent (FINRA AWC)

FINRA Fines Firm for Inaccurate Valuations in Consolidated Reports. In the Matter of U.S. Boston Capital Corporation, Respondent (FINRA AWC)

In the Matter of the Application of Metatron Inc. For Review of Action Taken by FINRA (SEC Order)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4632/securities-industry-commentator/

The Customer Email Order, the Lunchtime Resignation, and The Angry Morgan Keegan Stockbroker (BrokeAndBroker.com Blog)

FINRA Expels Crowdfunding Member and Bars its Chief Executive Officer. FINRA Department of Enforcement, Complainant, v. DreamFunded Marketplace, LLC and Manual Fernandez, Respondents (FINRA OHO Decision)

Raleigh Investment Advisor Convicted on Twenty Counts of Investment Fraud (DOJ Release)

Attorney Indicted For Investment Fraud / Defendant was arrested in Reno, Nevada and then transferred to Colorado (DOJ Release)

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Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

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