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

Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

November 16, 2019

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4903/securities-industry-commentator/

Modernizing our Regulatory Framework: Focus on Authority, Expertise and Long-Term Investor Interests (Speech by SEC Chairman Jay Clayton, University of Pennsylvania Distinguished Jurist Lecture)

California Man Indicted in $300 Million Nationwide Investment Fraud and Ponzi Scheme (DOJ Release)

Former Financial Advisor Admits To Engaging In Ponzi Scheme Targeting Elderly Investors (DOJ Release)

Six Charged In Multi-Million Dollar Elder Fraud Scheme (DOJ Release)

FINRA Addresses Light Bulb and Coffee Cake Abuses

(BrokeAndBroker.com Blog)

Edward D. Jones & Co., L.P., Plaintiff, v. Michael Peterson, Defendant (Temporary Restraining Order, United States District Court for the District of Nevada)

Defendants Charged in Fraudulent ICO Ordered to Pay Nearly $9.5 Million (SEC Release)

Two Massachusetts Men Arrested and Charged with Nationwide Scheme to Steal Social Media Accounts and Cryptocurrency (DOJ Release)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4902/securities-industry-commentator/

Greenfield Woman Sentenced for Conspiracy to Hide $486,000 from Federally Insured Financial Institution (DOJ Release)

[In]Securities Guest Blog: What's My Name? by Aegis Frumento Esq (BrokeAndBroker.com Blog)

OATH Corporation CEO Sentenced For Wire, Tax, And Bankruptcy Fraud (DOJ Release)

FINRA Requests Comment on a Proposed Rule to Limit a Registered Person from Being Named a Customer's Beneficiary or Holding a Position of Trust for or on Behalf of a Customer / Comment Period Expires: January 10, 2020 (FINRA Regulatory Notice 19-36)

FINRA Fines and Suspends Rep for Exercising POA in Relative's Away Account. In the Matter of John Steven Mullaly, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for Borrowing from Customers. In the Matter of Ralph G. Adamo, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for Check Kiting. In the Matter of Rockney F. Garcia, Respondent (FINRA AWC)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4901/securities-industry-commentator/

Corporate whistleblowers can make millions, and a select few are turning it into a business model (CNBC video)

Former Park Avenue Bank Director Mendel Zilberberg And Co-Conspirator Charged In $1.4 Million Bank Fraud (DOJ Release)

SEC Wins Jury Trial in Layering, Manipulative Trading Case (SEC Release)

SEC Obtains Final Judgments Against Broker and Two Principals Found Liable for Fraud (SEC Release)

Serial Con Artist Sentenced to More Than 9 Years in Federal Prison for $6.7 Million Swindle of Investors, Family and Friends (DOJ Release)

FINRA Arbitration Panel Denies ADA and FMLA Claims. In the Matter of the Arbitration Between Nicole M. Muir, Claimant, v. RBC Capital Markets, LLC, Respondent (FINRA Arbitration Decision 18-03159)

FINRA Bars Rep for Participation in 27 PSTs. In the Matter of Aurora Capital LLC, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep Over Unauthorized Trades. In the Matter of John G. Hoagland, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep Over a 2012 PST. In the Matter of Brian J. Lockett, Respondent (FINRA AWC)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4900/securities-industry-commentator/

Kirkwood Builder Sentenced for Swindling Homebuyers of Approximately $400,000 (DOJ Release)

SEC Charges Man for Defrauding Investors in Surfboard Scheme (DOJ Release)

Four Additional Individuals Charged for Role in Multi-Million Dollar Investment Fraud Scheme (DOJ Release)

Mortgage Short Sale Negotiators Charged with Defrauding Mortgage Lenders (DOJ Release)

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