Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

September 12, 2020

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5420/securities-industry-commentator/

FINRA Imposes Fine and Suspension Over Deceased Second Cousin Once Removed (BrokeAndBroker.com Blog)

Antitrust Division Announces Updates To Civil Investigative Demand Forms And Deposition Process (DOJ Release)

SEC Charges Connecticut Investment Adviser with Defrauding Retired Couple (SEC Release)

SEC Charges New Jersey-Based Investment Adviser and Its President with Defrauding Clients (SEC Release)

SEC Obtains Final Judgment Against Investment Adviser for Defrauding Elderly Client (SEC Release)

SEC Obtains Final Judgment Against Former VP of Telecommunications Expense Management Company (SEC Release)

SEC Charges Two Former Petmed Executives with Insider Trading (SEC Release)

FINRA Arbitrators Award Damages to Firm Against Principal/CCO/AMLCO/FINOP

In the Matter of the Arbitration Between Auto Aftermarket Securities, LLC, Claimant, v. Josef Schaible, Respondent (FINRA Arbitration Award)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5419/securities-industry-commentator/

FINRA Fines and Suspends Rep for Transferring Customer List to New Employer (BrokeAndBroker.com Blog)

An Activist Investor Crusades Against Forced Arbitration at Tesla / The electric-car maker has faced multiple allegations of racial discrimination.(Bloomberg by Dana Hull)

SEC Charges Washington Company and Owner with Defrauding Investors (SEC Release)

FINRA Censures and Fines SeedChange Over Outside Business Activities Supervision.

In the Matter of SeedChange Execution Services Inc., Respondent (FINRA AWC)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5418/securities-industry-commentator/

For FINRA, Relevant Is A Large Gray Pachyderm (BrokeAndBroker.com Blog)

Request to regulate use of encrypted, un-monitored chatrooms by traders (SEC Public Petitions for Rulemaking)

In the Matter of the Claim for an Award in Connection With REDACTED Notice of Covered Action (SEC Order Determining Whistleblower Award Claim)

FINRA Arbitrators Grant Motion to Dismiss Finding Respondents Not Associated With Account/Conduct at Issue

In the Matter of the Arbitration Between Louis Hill and Marsha Hill, Claimants, v. Mark Christopher Perry and Brokers International Financial Services, LLC, Respondents (FINRA Arbitration Award)

FINRA Imposes Fine and Suspension on Rep for WestPark Promissory Notes Sales

In the Matter of Harry Seth Datys, Respondent (FINRA AWC)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5415/securities-industry-commentator/

UPDATE: E Pur Si Mouve, Idioti! (Or So An SEC ALJ Should Mutter) (BrokeAndBroker.com Blog)

SEC Bars John Thomas Capital's Jarkesy

In the Matter of John Thomas Capital Management Group LLC d/b/a Patriot 28 LLC; and George R. Jarkesy Jr., Respondents (SEC Opinion)

Fraud Alert: Scammers Claiming to be with DOJ, Preying on Elderly (DOJ Release)

Investors Warned to Be Wary of Online Schemes by Parties Impersonating Registered Firms and Persons (TSSB Release)

Don't Respond to the Birdsong: Securities Commissioner Takes Action to Stop Forex Birds, Others Accused of Fraudulent Securities Offerings (TSSB Release)

FINRA Imposes Fine, Suspension, and Continuing Ed Undertaking on Rep for Blank Account Forms and Mismarked Solicited Orders

In the Matter of Chin-Ming Huang, Respondent (FINRA AWC)

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