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

Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

February 15, 2020

Securities Industry Commentator:A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5060/securities-industry-commentator/

SEC Charges Investment Advisers with Failure to Disclose Financial Conflicts of Interest (SEC Release)

Ohio Resident Charged with Operating Darknet-Based Bitcoin "Mixer," which Laundered Over $300 Million / "Helix" Laundered Bitcoin From Numerous Darknet Markets (DOJ Release)

Judge in Austin Sentences Owner of Bullion Direct, Inc. to Federal Prison for Investment and Wire Fraud Scheme (DOJ Release)

Woman who schemed to hide millions from Bankruptcy Court sentenced to 3+ years in prison / Conspired with partner to hide assets after sham business went under (DOJ Release)

Hercules, California Resident Pleads Guilty To Conspiracy to Commit Wire Fraud for Her Role in Business Email Compromise Scheme Victimizing Eastern District Of Louisiana Company (DOJ Release)

CFTC Orders Florida Resident and His Company to Pay Over $1 Million for Fraud (CFTC Release)

Next Financial to Refund $500,000 to Customers, Pay $100,000 Fine (TSSB Release)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5059/securities-industry-commentator/

Former CEO Sentenced In Scheme To Defraud Elderly Victims In The Sale Of Worthless Stock (DOJ Release)

Two Defendants Sentenced In Manhattan Federal Court For International Fraud Scheme (DOJ Release)

Former Chief Operating Officer Pleads Guilty To Defrauding Asset Management Company And Its Clients (DOJ Release)

Florida Man Sentenced To Federal Prison For An Investment Fraud Scheme Involving Baton Rouge Area Victims (DOJ Release)

Five Texas Men Sentenced to Federal Prison for their Roles in Scheme to Launder Millions from Business Email Compromise Fraud (DOJ Release)

"Opportunities (Let's Make Lots of Money)": The Role of Venture Capital in a Competitive Economy (Assistant Attorney General Makan Delrahim Delivers Opening Remarks at Public Workshop on Venture Capital and Antitrust)

One of the best bets I have ever made on Wall Street (Video by Josh Brown, Chief Executive Officer of Ritholtz Wealth Management)

[In]Securities Guest Blog: A Political World by Aegis Frumento Esq (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5058/securities-industry-commentator/

Ponzi schemes hit highest level in a decade, hinting next 'investor massacre' may be near (CNBC.com by Greg Iacurci)

RI Businesswoman Sentenced in $10M Ponzi Scheme that Defrauded 23 Individuals (DOJ Release)

2019 Internet Crime Report Released / Data Reflects an Evolving Threat and the Importance of Reporting (FBI Release)

Leader Of Fake Cryptocurrency Investment Scheme Charged With Fraud And Money Laundering (DOJ Release)

SEC Charges Orchestrator of Cryptocurrency Scheme Ensnaring Physicians (SEC Release)

CFTC Charges Company and its Principal in $33 Million Fraudulent Digital Asset Scheme (CFTC Release)

SEC Obtains Fraud Judgment Against Former Executive of Healthcare Advertising Company (SEC Release)

California Man Sentenced for Role in International Money Laundering Network (DOJ Release)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5057/securities-industry-commentator/

Chinese Military Personnel Charged with Computer Fraud, Economic Espionage and Wire Fraud for Hacking into Credit Reporting Agency Equifax / Indictment Alleges Four Members of China's People's Liberation Army Engaged in a Three-Month Long Campaign to Steal Sensitive Personal Information of Nearly 150 Million Americans (DOJ Release)

Former Suburban Insurance Agent Charged With Fraud for Allegedly Swindling Money From Elderly Client (DOJ Release)

Down In the Dunes, Dealing With the Goons with SEC ALJ Foelak (BrokeAndBroker.com Blog)

SEC Settles Charges with Former CEO of Texas Oil-And-Gas Penny Stock Company (SEC Release)

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