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

Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

February 8, 2020

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5048/securities-industry-commentator/

Running on Empty: A Proposal to Fill the Gap Between Regulation and Decentralization (Speech by SEC Commissioner Commissioner Hester M. Peirce)

Court Rejects Late Breaking Wisdom As Too Late in FINRA Arbitration Appeal (BrokeAndBroker.com Blog)

ABN AMRO Clearing Chicago Charged With Improper Handling of ADRs (SEC Release)

FINRA Imposes Censure and Fine on Two-Rep Firm for Supervisory Issues. In the Matter of FIMCO Securities Group, Inc., Respondent (FINRA AWC)

FINRA OHO Panel Grants Summary Disposition in Rule 8210 Matter. FINRA Department of Enforcement, Complainant, v. Robert Juan Escobio, Respondent (FINRA OHO Decision)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5047/securities-industry-commentator/

Guest Blog: The 10 Warning Signs of a Crypto Scam by Jesús Cedeño (BrokeAndBroker.com Blog)

North Suburban Man Pleads Guilty to Orchestrating $9.6 Million Fraud Scheme (DOJ Release)

Montana Broker Found Guilty In Multimillion Dollar Fraud Scheme (DOJ Release)

Financial Adviser Sentenced To 30 Months In Prison For Defrauding Clients In Fake Investment Scheme (DOJ Release)

Grundy County Businessman Charged With Operating Ponzi Scheme (DOJ Release)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5046/securities-industry-commentator/

FINRA Imposes Fine and Suspension for Rep's Excessive and Unsuitable Microcap Trading In Account of Customer With Cancer. In the Matter of Peter D. Monson, Respondent (FINRA AWC)

Lynn Man Sentenced For Role in $1.4 Million Bank Fraud and Money Laundering Scheme (DOJ Release)

Providence Man Pleads Guilty in Bogus Check, Bank Fraud Scheme (DOJ Release)

SEC Wins Jury Trial Against Massachusetts Man Charged in Multi-Year Insider Trading Scheme (SEC Release)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5045/securities-industry-commentator/

Two sentenced in securities fraud conspiracy (DOJ Release)

Florida Resident Sentenced to 21 Months' Imprisonment for Mail Theft Related to Fraud Scheme Targeting Financial Institutions (DOJ Release)

Oppenheimer Wins FINRA Arbitration Award For Stabilization Compensation (BrokeAndBroker.com Blog)

FINRA Fines Paulson Investment Company for Unregistered Distributions. In the Matter of Paulson Investment Company, LLC, Respondent (FINRA AWC)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5044/securities-industry-commentator/

SEC Charges Texas Company and Its Principal in Multi-Million Dollar Ponzi Scheme (SEC Release)

SEC Charges Three Men in San Diego-Based Microcap Fraud (SEC Release)

FINRA Arbitrator Invokes Ineligibility Sua Sponte To Bar Expungement (BrokeAndBroker.com Blog)

SEC Obtains Final Judgment Against Pyramid Scheme Promoter (SEC Release)

SEC Brings Charges in Fraud Targeting Amish and Mennonite Investors (SEC Release)

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